h k - l a w y e r . org Theresa Johnson Theresa CoverStory 莊綺珊 律政司法律草擬專員 REGULATORY Law Draftsman, of Justice Department 封面專題 兩地上市企業：要約期的季度業績報告要求 the OfferPeriod Requirement ofQuarterlyResults During Dual-Listed Companies:Reporting 專 訪 監管 Face to Face with DISPUTE RESOLUTION 司法禮讓與非附屬資產凍結令 Injunction Comity andFree-StandingMareva

解決糾紛 ON CHINA F 的取態 最高人民法院明確了中國在保護姓名權方面 China to ProtectingPersonal NameRightsin Supreme People’s CourtClarifiesApproach ebruary 中國實務

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Editorial Board 編輯委員會 Chairman 主席 Huen Wong 王桂壎 Jenkin SF Chan 陳少勳 Peter CH Chan 陳志軒 Heidi KP Chu 朱潔冰 Elliot Fung 馮以德 Steven B Gallagher Warren P Ganesh 莊偉倫 Minkang Gu 顧敏康 Julienne Jen 任文慧 HAPPY YEAR OF THE ROOSTER Dave Lau 劉子勁 Byron Leung 梁東華 George YC Mok 莫玄熾 Inside your February issue Michelle Tsang 曾憲薇 Adamas KS Wong 黃嘉晟 二月期刊內容 Tony Yen 嚴元浩 THE COUNCIL OF THE LAW SOCIETY OF HONG KONG 香港律師會理事會 President 會長 Thomas ST So 蘇紹聰 Vice Presidents 副會長 Melissa K Pang 彭韻僖 Amirali B Nasir 黎雅明 14 COVER STORY Council Members 理事會成員 Stephen WS Hung 熊運信 Junius KY Ho 何君堯 Huen Wong 王桂壎 Peter CL Lo 羅志力 Michael J Lintern-Smith 史密夫 Billy WY Ma 馬華潤 Cecilia KW Wong 黃吳潔華 28 REGULATORY Brian W Gilchrist 喬柏仁 Denis G Brock 白樂德 Nick Chan 陳曉峰 Bonita BY Chan 陳寶儀 Mark Daly 帝理邁 CM Chan 陳澤銘 Serina KS Chan 陳潔心 Warren P Ganesh 34 DISPUTE RESOLUTION Simon SC Lai 黎壽昌 Roden ML Tong 湯文龍 4 EDITOR’S NOTE 編者的話 Secretary General 秘書長 Heidi KP Chu 朱潔冰 6 PRESIDENT’S MESSAGE 會長的話

Law Society’s Contact: www.hklawsoc.org.hk 9 CONTRIBUTORS 投 稿 者 與律師會聯繫 Tel: +852 2846 0500

Annual Subscription 全年訂閱: HK$3,360 0 1 FROM THE SECRETARIAT 律師會秘書處資訊 12 DISCIPLINARY DECISIONS 紀律裁決 Thomson Reuters Hong Kong Limited 16/F, Cityplaza 3, Taikoo Shing, Hong Kong 14 COVER STORY 封面專題 Tel: +852 2847 2088 Face to Face with 專 訪 www.thomsonreuters.com Theresa Johnson 莊綺珊 ISSN 1025-9554 Law Draftsman, Department of Justice 律政司法律草擬專員 © Copyright is reserved throughout. No part of this publication can be reproduced in whole or 22 LAW SOCIETY NEWS 律師會新聞 part without the express permission of the editor. Contributions are invited, but copies of work should 28 REGULATORY 監 管 be kept, as Hong Kong Lawyer can accept no Dual-Listed Companies: Reporting Requirement of 兩地上市企業：要約期的季度業績報 responsibility for loss. Quarterly Results During the Offer Period 告要求 34 DISPUTE RESOLUTION 解決糾紛 Comity and Free-Standing Mareva Injunction 司法禮讓與非附屬資產凍結令 February 2017 二零一七年二月 HK$280

Editor 編輯 40 ON CHINA 中國實務 Cynthia G Claytor Supreme People’s Court Clarifies Approach to 最高人民法院明確了中國在保護姓名權 [email protected] Protecting Personal Name Rights in China 方面的取態 Tel: +852 2841 5775 46 INDUSTRY INSIGHTS 業界透視 Managing Editor 執行主編 Ranajit Dam 鄧文杰 56 CASES IN BRIEF 案例撮要 [email protected] 會員動向 Tel: +65 6870 3393 63 PROFESSIONAL MOVES 法學院新聞 Design and Production 設計及制作 2 7 CAMPUS VOICES Samson Pang 彭振生 76 LEGAL TRIVIA QUIZ 法律知識測驗 [email protected] 8 7 LAWYERS AT LEISURE 律師閒情 Translation team 翻譯組 A Journey into the Soul of African American 窺視非洲裔美國人文化的靈魂 InfoPower Culture Tang Mei Kwan 82 ASIDE Special thanks to Hong Kong Law Reports & 隨 筆

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All information and views expressed by contributors and advertisements 78 LAWYERS AT LEISURE in Hong Kong Lawyer do not necessarily reflect the official opinion of The Law Society of Hong Kong. Whilst every effort is made to ensure editorial and commercial integrity, no responsibility is accepted by the Publisher or The Law Society of Hong Kong for the accuracy of material appearing in this journal. Members are encouraged to contribute but the Editorial Board of The Law Society of Hong Kong reserves the right to publish only material it deems appropriate. 82 ASIDE BUSINESSBUSINESSBUSINESS DEVELOPMENTBUSINESSDEVELOPMENTBUSINESSDEVELOPMENTBUSINESS DEVELOPMENTDEVELOPMENTDEVELOPMENT PREMIERPREMIERPREMIER PREMIERAPREMIERA REVOLUTIONPREMIERA REVOLUTION REVOLUTION IN IN IN WINNINGAWINNINGA REVOLUTIONWINNINGA REVOLUTION REVOLUTION NEW NEW NEW BUSINESS IN BUSINESS IN BUSINESS IN WINNINGAWINNINGA REVOLUTIONWINNINGA REVOLUTION REVOLUTION NEW NEW NEW BUSINESS IN BUSINESS IN BUSINESS IN WINNINGWINNINGWINNING NEW NEW NEW BUSINESS BUSINESS BUSINESS

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For more information on Business Development Premier and how it can work for you, contact Amantha Chia at [email protected] or call +65 6870 3917 today. • February 2017

EDITOR’S NOTE 編者的話

In 1891, just a few years after the game was invented in Springfield, 在 1891年，僅僅在美國馬薩諸塞州的斯普林菲爾德 Massachusetts (USA), YMCA missionaries introduced basketball to (Springfield)發明籃球運動幾年後，YMCA傳教士把它引進 China. Over the last century, basketball has seeped into the fabric of 到中國。在過去一個世紀，籃球滲入了中國人的生活中， Chinese lives and has been described as perhaps the only true national 並被描述為或許是唯一真正的民族運動，把所有各種背景 sport that brings together all people of all backgrounds. According 的人匯集在一起。根據中國籃球協會在2012年提供的數 to figures provided by the Chinese Basketball Association in 2012, an 字，估計在中國有3億人(大致相當於美國的整個人口)玩這 estimated 300 million people in China (roughly equivalent to the entire 項運動。 population of the United States) play the sport. Given China’s national obsession with basketball, it should come as no 鑑於全國對籃球的痴迷，國際運動品牌紛紛湧入中國，在 surprise that international sports brands have tried to capitalise on this 利潤豐厚的市場分一杯羹。然而，像許多其他外國公司一 booming market. However, like many other foreign companies in China, 樣，運動服裝公司在嘗試保護他們在中國的品牌時面臨著 sportswear companies have faced a number of legal challenges when 一些法律挑戰。我們「中國實務」的一篇文章(第43頁)討 trying to protect their brands against so-called trade mark squatters. 論了最高人民法院最近對一項涉及一位著名的美國籃球明 Our On China piece (p. 40) discusses recent decisions handed down 星Michael Jordan的馬拉松式訴訟案作出的裁決；Jordan by the Supreme People’s Court in one such trade mark battle involving 與製造Air Jordan 鞋的Nike Inc.及QIAO DAN Sports Co., Michael Jordan, a famous US basketball star, who has a lucrative Ltd.簽訂了高報酬的代言合約。 endorsement contract with Nike Inc, which makes Air Jordan shoes, and QIAODAN Sports Co., Ltd. 在我們二月號的其他地方，「監管」專欄(第31頁)注視了 Elsewhere in our February issue, the Regulatory feature (p. 28) highlights 香港的兩地上市公司在構建退市交易時，關於香港報告要 key points to keep in mind with respect to Hong Kong reporting 求的要點。「解決糾紛」專欄(第37頁)討論了Compania requirements when structuring delisting deals for dual-listed companies Sud Americana De Vapores SA v Hin-Pro International in Hong Kong. The Dispute Resolution article (p. 34) discusses Compania Logistics Ltd(FACV 1/2016，14 November 2016)，在 Sud Americana De Vapores S.A. v Hin-Pro International Logistics Ltd (FACV 該案中終審法院首次根據《高等法院條例》(第4章)第21M 1/2016, 14 November 2016), a case in which the Court of Final Appeal 條，有關授予獨立的資產凍結濟助以援助外地法律訴訟的 considered for the first time the jurisdiction of the Hong Kong Court 事宜，考量了香港法院的司法管轄權。本文可能引起人們 pursuant to s. 21M of the High Court Ordinance (Cap. 4) to grant free- 的興趣，因為它提供了與在2017年1月號的《業界透視》 standing Mareva relief in aid of foreign proceedings. This article may be 刋出的《終審法院確認協助外地法律程序的濟助》一文不 of interest because it offers a contrasting view to that presented in CFA Confirms Relief in Aid of Overseas Protection, an insight that appeared in 同的見解。 the January 2017 issue. 另一個值得關注的可能是我們的《隨筆》專欄(第85頁)， Also of interest may be our Aside piece (p. 82), which recounts many 其中敘述了許多那些常常被遺忘的香港法律職業有趣的故 fascinating stories of Hong Kong’s legal profession’s often forgotten past, 事，以及《律師閒情》專欄的文章(第80頁)，在《水盡雲 and the Leisure article (p. 78), which highlights a number of pieces from 起—金賽收藏之非洲裔美國人的藝術及歷史展覽》一文中 Rising Above: The Kinsey African American Art & History Exhibition that 突出了許多有趣的作品；該展覽在香港大學美術博物館展 runs until 26 February at HKU’s Museum and Art Gallery. 出直到2月26日。 Finally, the Hong Kong Lawyer team would like to extend our warmest 恭喜發財！《香港律師》團隊向您致以最熱烈的祝愿，祝 wishes to you for a prosperous and fulfilling Year of the Rooster! Kung 您鷄年萬事如意，業務蒸蒸日上！ Hey Fat Choy!

Cynthia G. Claytor Cynthia G. Claytor Editor, Hong Kong Lawyer 《香港律師》編輯 Legal Media Group Thomson Reuters Legal Media Group 湯森路透 [email protected] [email protected]

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For more information about the Asian Legal Business Law Awards, visit www.legalbusinessonline.com/law-awards • February 2017 PRESIDENT’S MESSAGE 會長的話

Striving for a Better Future

Kung Hey Fat Choy! May I extend my ahead, we must at all times uphold our to expand multilateral ties among warmest wishes to you for a prosperous professional standards and fulfill the over 65 economies in Asia, Europe and and fulfilling Year of the Rooster! duties owed to our clients, the Court, the Africa. The priority is on infrastructure public, and our fellow professionals. development and connectivity. The Recent events seem to suggest that business opportunities arising from a shared theme of “uncertainty” will At the 2017 Ceremonial Opening of the the Belt and Road Initiative are of a prevail across many nations this year, Legal Year on 9 January, I also stressed massive and unprecedented scale. The with Hong Kong as no exception. the importance of the virtue of open- Government has set up a dedicated Locally, of course much anticipation mindedness for a true professional: Belt and Road Office to steer efforts currently rests on the outcome for next open-mindedness entails a drive to learn on this front. It has also allocated term’s Chief Executive-elect, and the the requisite knowledge and skills to $200 million to support the work of uncertainties his/her new cabinet will keep up with the changing demands of professional sectors to cooperate with bring for Hong Kong’s economy. As society and clients. Just as roosters are overseas markets under the Belt and an externally oriented economy, the by nature always on guard and keenly Road Initiative. The projects generated uncertainties triggered across shores – aware of their surroundings (with “eyes from the Belt and Road Initiative are for instance by Brexit, US interest rate at the back of their heads”), we as a expected to create a huge demand hikes, and a change of policy directions profession must be vigilant and sensitive for legal services. From due diligence, after the US presidential election, also to the changing societal climate in which financing, contract negotiation, drafting cloud significantly the global economic we live in. In so doing, this includes and enforcement to dispute resolution outlook for Hong Kong this year. keeping ourselves abreast of the newest for cross border infrastructural projects, developments within and beyond Our industry, like many others, is one legal service support will be required. our expertise, to ensure we are well that thrives with the city’s economy, equipped to overcome and address the The legal profession in Hong and against the backdrop of the many challenges and problems of the future. Kong, equipped with the necessary imminent economic uncertainties international experience and expertise, around the world, 2017 will be a Like the Rooster, the profession must is well placed to meet these demands. challenging year for the profession. Yet strive to use its voice for the greater Legal practitioners are encouraged to I hope the Rooster and the auspicious good. reach out to their counterparts in the symbolisms related to it may help us get In the 2017 Policy Address, the Chief emerging economies covered by the Belt through the challenges ahead. Executive highlights the Government’s and Road Initiative and pave the way for According to Chinese astrology, the efforts to sustain Hong Kong’s economic an active role in this visionary project. Rooster acts as a proverbial mascot development by strengthening Hong The Law Society will be organising an to the virtues of civic responsibility, Kong’s status as a global offshore international Belt and Road Conference constancy, punctuality, courage, Renminbi business hub and an on 12 May 2017. Participants from the kindness, confidence and honesty – all international dispute resolution centre. jurisdictions along the Belt and Road values of utmost relevance within our The Government will continue to further will have the opportunity to gather in practice. Just as it is the Rooster’s duty expand cooperation with the Mainland Hong Kong to connect with one another to crow each break of dawn regardless and in particular, in the Guangdong area and map out ways of future cooperation. of wind or rain, the profession should, in and to promote Hong Kong’s role as a The Conference programme will cover particular, be reminded of the Rooster’s super connector in the Belt and Road popular topics relevant to cross border spirit of constancy and reliability in Initiative. trade and technological advancement in the discharging of their professional The Belt and Road Initiative is designed legal practice. duties: that despite all uncertainties

6 www.hk-lawyer.org February 2017 • PRESIDENT’S MESSAGE 會 長 的 話

The Belt and Road Initiative is a long- jurisdictions. We pride ourselves as term national strategy that will affect the pioneer in introducing a statutory 攜手共創美好未來 the development of the legal service mandatory risk management market in the decades to come. The education programme for legal 恭喜發財！祝各位雞年進步，萬事如意！ fruits of our efforts in the Belt and practitioners since 2004. The Law Road Initiative may not materialise in Society stands ready to offer training 最近發生的事件似乎顯示，今年許多國家均 the short-term, but I see it as our duty on risk management to those Belt and 會彌漫著「不確定因素」，香港也不例外。 to contribute in whatever way we can Road Initiative jurisdictions that are 在本地，下屆行政長官選舉結果和其新班子 to secure a strong role for Hong Kong interested. 將為香港經濟帶來的「不確定因素」，固然 in the Belt and Road Initiative for the Building international connectivity, benefit of our future generations. I 是關注焦點。香港作為一個外向型經濟體， sharing risk management skills and therefore strongly encourage you to join 外國觸發的不確定因素，如英國脫歐、美國 assisting members to capitalise on the Conference on 12 May 2017; as it the opportunities arising from the 加息、美國總統選舉後政策方向的變化，也 will be held in Hong Kong, we can meet Belt and Road Initiative will be one 深深影響今年香港的整體經濟前景。 the international community without of the major tasks of the Law Society having to travel overseas. 我們的行業和許多其他行業一樣，與城市經 in 2017. I call on your support for Our participation in the Belt and Road our first major event under the Belt 濟密不可分，共同進退。在世界各地經濟不 Initiative is not all about business. It and Road Initiative, i.e. the Belt and 穩定的背景下，對法律行業來說，2017年 is also about sharing, connectivity and Road Conference on 12 May 2017. 將是充滿挑戰的一年。但我希望喻意吉祥的 harmonisation. I look forward to seeing you at the 公雞，能助我們應對未來的挑戰。 Conference! As an established legal profession 在中國生肖中，公雞常在諺語中代表著公民 with a history of 110 years, we are well placed to share our experiences in 責任、堅定、守時、勇氣、善良、信心和誠 legal practice with some developing 實等美德，這些都是我們執業中最重要的價 Thomas So, President

www.hk-lawyer.org 7 • February 2017

值觀。正如公雞不管風雨，每天黎明拂 「一帶一路」旨在擴大亞洲、歐洲和非 我們有責任盡一切努力，確保香港在 曉時啼鳴，法律界在履行專業職責時， 洲65個經濟體的多邊關係，首重基礎 「一帶一路」中發揮強大作用，造福子 亦應特別謹記公雞的堅定和可靠的精 設施開發和連接。「一帶一路」帶來前 孫後代。因此，我強烈建議各位參加 神：儘管面臨前所未有的不確定因素， 所未有的巨大商機。政府已設立「一帶 2017年5月12日的會議。會議將在香港 我們始終堅持專業標準，克盡對客戶、 一路」專責辦公室，以開展這方面的工 舉行，我們無須舟車勞頓，便可與國際 法院、公眾和同業的責任。 作，又撥款2億元以支持專業界別在「一 社群會面。 帶一路」下與海外市場合作。預期「一 在 1 月 9 日的2017法律年度開幕典禮 我們參與「一帶一路」並非只為業務， 帶一路」洐生的項目，將創造對法律服 上，我曾強調專業人士保持開放態度的 還涉及共享、連繫和協調。 務的巨大需求。從盡職調查、融資、合 重要性：保持開放態度意味著我們需有 同談判、起草和執行，到跨境基礎設施 作為擁有110年歷史的法律專業，我們 學習必要的知識和技能的動力，以應對 項目的爭議解決，都需要法律服務的支 有能力與一些發展中國家分享法律執業 社會和客戶不斷變化的需求。正如公雞 援。 的經驗。我們於自2004年起為法律執業 與生俱來總是敏銳警惕，留意周圍環境 者制定法定強制性風險管理教育計劃， 香港法律界擁有必要的國際經驗和專業 (「眼觀六路，耳聽八方」)，作為專業 成為這方面的先驅，對此我們引以為 知識，足以應付這些需求。法律執業者 界別的一員，我們生活在不斷變化的社 傲。律師會隨時準備好，為對此有興趣 獲鼓勵與「一帶一路」涵蓋的新興經濟 會氣候，亦必須保持敏銳警惕，包括緊 的「一帶一路」司法管轄區提供風險管 體的同業接觸，為在這個富有遠見的項 貼專業範疇內、外的最新發展，以確保 理培訓。 目中發揮積極作用鋪路。律師會將於 有能力迎難而上，克服未來的挑戰。 2017年5月12日舉辦國際性的「一帶一 建立國際連繫、分享風險管理技巧和協 一如雄雞，法律專業必須積極發聲，以 路」會議。來自「一帶一路」沿線司法 助會員把握「一帶一路」帶來的機遇， 謀求更佳發展。 管轄區的參加者，將有機會在香港聚首 將是律師會2017年的主要任務之一。我 呼籲各位支持我們為「一帶一路」舉辦 在2017年施政報告中，行政長官強調 一堂，互相聯繫，找出未來合作方向。 的首個大型活動，即2017年5月12日的 政府致力維持香港的經濟發展，加強香 會議內容將涵蓋跨國貿易和法律執業中 「一帶一路」會議。期待在會議上與各 港作為全球離岸人民幣商業中心和國際 技術相關的熱門話題。 位見面！ 爭議解決中心的地位。政府會繼續與內 「一帶一路」是長期的國家戰略，將影 地，特別是廣東地區進一步擴大合作， 響法律服務市場在未來幾十年的發展。 並推廣香港作為「一帶一路超級連繫 我們在「一帶一路」中所作的努力，在 人」的角色。 短期內可能無法看到成果，但我認為， 蘇紹聰 會長

8 www.hk-lawyer.org February 2017 • CONTRIBUTORS 投 稿 者

CONTRIBUTORS 投 稿 者

Clemence Yeung 楊業明 Fortune Chambers, Barrister Fortune Chambers 大律師 Clemence Yeung is a practising barrister. He has authored 楊業明是執業大律師。他撰寫了一本關 a book on the law of unjust enrichment in Hong Kong and 於在香港不當得利法律的著作，並是香 was a contributor to a practitioner’s volume on Hong Kong 港海事法執業者卷冊的投稿人。他曾就 maritime law. He has presented professional seminars 多個執業領域發表專業研討會，包括 covering a variety of practice areas, including documentary credits, cross-border injunctions, land compensation and 信用狀、跨境禁令、土地補償和國際私 private international law. 法。

Ronald Leung 梁衞晉 BNP Paribas Hong Kong Branch, Associate of 法國巴黎銀行香港分行， General M&A and Transaction Group 收購合併及資本市場交易組經理 Mr. Leung is an investment banking associate of BNP 梁先生為法國巴黎銀行香港分行亞太區投 Paribas Hong Kong Branch. He is also a practising solicitor 資銀行部經理。彼同時為執業律師及執業 and a practising Certified Public Accountant. Prior to 會計師。加入法巴前，梁先生曾分別於金 joining BNP, Mr. Leung was a legal professional in King & Wood Mallesons and an accounting professional in Ernst 杜律師事務所擔任法律專業人員及安永會 & Young respectively. Mr. Leung specialises in mergers & 計師事務所擔任會計專業人員。梁先生的 acquisitions and transactions. 專業為收購合併及資本市場交易領域。

Mr. Leung is an Economics and Political Science graduate 梁先生為美國密西根州大學安娜堡分校經 of the University of Michigan, Ann Arbor and a Juris Doctor 濟及政治系學士。彼同時獲取香港城市大 and PCLL graduate of the City University of Hong Kong. 學法律博士及法學專業證書。梁先生現為 He is a candidate of the Master of Business Administration of the University of Hong Kong. 香港大學工商管理碩士生。

James Lau 劉炯宇 Baker & McKenzie, Associate 貝克‧麥堅時律師事務所 律師 Mr. Lau is an Associate at Baker & McKenzie, with 劉先生是貝克‧麥堅時的律師，特別著重 a particular emphasis in intellectual property law in 中國的知識產權法。他的執業包括替知識 China. His practice includes portfolio management and 產權所有者在商標，版權，商標名稱， enforcement for IP owners in the areas of trademarks, 不公平競爭以及廣告和標籤法方面作組合 copyright, trade names, unfair competition, and advertising 管理和執法。他曾在廣泛的行業，包括航 and labelling laws. He has acted for multinational companies in a wide range of industries, including 空，消費電子產品，娛樂，時尚，食品和 the aviation, consumer electronics, entertainment, 飲料，信息技術，製藥及葡萄酒烈酒行業 fashion, food and beverage, information technology, 作為跨國公司的律師。 pharmaceuticals and wines and spirits industries.

www.hk-lawyer.org 9 • February 2017

FROM THE SECRETARIAT 律師會秘書處資訊

Ms. Heidi Chu, Secretary General 秘書長朱潔冰律師

UPC 無條件限制的執業證書 Currently, there are about 9,000 solicitors holding a practising certificate. 目前，約有9,000名持有執業證書的律師，其中約 Out of them, about 50 percent are holding a practising certificate that does 50%持有無條件限制的執業證書(下稱UPC)，即並 not have any prohibition against the holder practising as a solicitor on his 無限制持有人以獨自或合夥形式執業為律師。 own account or in partnership (“unconditional practising certificate (UPC)”). Section 6(6) of the Legal Practitioners Ordinance (Cap. 159) (the 《法律執業者條例》第6(6)條規定，律師從獲認許 “Ordinance”) provides that a solicitor must satisfy the Council that since 為律師後曾至少有兩年真誠地受僱從事於一名在香 being admitted as a solicitor, he has been bona fide employed in the practice 港的律師的執業業務，才能獨自或以合夥形式執業 of a solicitor in Hong Kong for at least two years before he can practise as a 為律師。兩年年期必須連續，但不必緊接申請UPC solicitor on his own account or in partnership. The two-year period must be 之前。申請是通過法定聲明的方式，就支持履行條 a continuous period although it does not have to be immediately preceding an application for a UPC. The application is by way of a statutory declaration 例第6(6)條要求的基本事實資料作出聲明。 on the essential factual information that supports the fulfillment of the 在執業證書的持有人中，約88%(7,892名律師)獲 requirement under s. 6(6) of the Ordinance. 認許為律師兩年或以上。然而，只有50%(4,505名 Out of the practising certificate holders, about 88 percent (7,892 solicitors) 律師)持有UPC。雖然，未必所有餘下的38%(3,387 have been admitted for two years or more. However, only 50 percent (4,505 名律師)都符合條例第6(6)條的要求，至少兩年真 solicitors) are holding a UPC. Although it is obvious that not necessarily all of the remaining 38 percent (3,387 solicitors) have been in bona fide 誠地受僱從事於一間律師行，但我們可假設，仍 employment in a law firm for two years as required under s. 6(6), it can be 有許多合資格取得UPC的執業者，未有進一步申請 safely assumed that there are still many practitioners who are entitled to a UPC。 UPC but have not taken steps to apply for one. 未符合第6(6)條要求，但已在香港或其他地方獲取 For those who do not meet the requirement under s. 6(6) but who have 豐富法律經驗者，可向理事會申請減免或豁免兩年 acquired substantial experience in the law either in Hong Kong or elsewhere, they may apply to the Council for a reduction or waiver of the two-year 年期的要求。律師會已備有詳細指引，因應申請人 period. There are detailed guidelines as to the amount of reduction that 在商界或政府擔任內部律師的累積年資，或在海外 would be allowed based on the number of years of experience that an 普通法或非普通法司法管轄區法律執業的年資，獲 applicant has accumulated as an in-house solicitor in commerce or in 允許減免的年數各異。有關指引已載於律師會網頁 government, or as a legal practitioner practising overseas in common law (律師會通告12-539及12-540)。 or non-common law jurisdictions. The guidelines are available on the Law Society website (Law Society Circulars 12-539 and 12-540). 持有UPC的律師在執業時選擇更多，不但可成為律 With a UPC, a solicitor will have more choices in his practice. Not only can 師行的合夥人或東主，若已執業7年，亦可擔任婚 he become a partner or proprietor of a law firm, he can also qualify as a 姻監禮人(《婚姻條例》(第181章)附表4)。隨時作 civil celebrant of marriages provided he has been in practice for seven years 好準備，一旦機會出現，便能立即把握。UPC的申 (Schedule 4 of the Marriage Ordinance (Cap. 181)). It is always good to be

10 www.hk-lawyer.org February 2017 • FROM THE SECRETARIAT 律 師 會 秘 書 處 資 訊

prepared for opportunities so that when they come along, one will be ready to 請程序簡單。我們建議符合法定要求的會員， grasp them. The application for a UPC is a simple procedure. It is advisable to 盡快抽空完成申請程序。 spare some time to complete this procedure as soon as the statutory condition is fulfilled. 會員或已知悉，條例第6(6)條已作出修訂，加 入必須完成已核准的執業管理課程後才可申請 Members may have been aware that s. 6(6) of the Ordinance has been amended to include a requirement on the completion of an approved practice UPC的要求。這項法律修訂尚未生效，亦尚未 management course prior to an application for a UPC. This legislative 訂定生效日期。律師會現正就執業管理課程及 amendment has not come into operation and no commencement date has been 其他實施細節進行工作。與此同時，UPC的申 fixed yet. The Law Society is now working on the practice management course 請將按照現行法律處理。 and other implementation details. In the meantime, applications for a UPC will be processed in accordance with the current legislation.

Monthly Statistics on the Profession 業界每月統計資料 (updated as of 31 December 2016): (截至2016年12月31日)：

Members (with or without practising certificate) 10,345 會員(持有或不持有執業證書) 10,345 Members with practising certificate 9,076 持有執業證書的會員 9,076 (out of whom, 6,734 (74%) are in private practice) (當中有6,734位 (74%) 是私人執業) Trainee Solicitors 1,036 實習律師 1,036 Registered foreign lawyers 1,358 註冊外地律師 1,358 (from 32 jurisdictions) (來自32個司法管轄區) Hong Kong law firms 870 (48% are sole proprietorships and 香港律師行 870 (獨資經營佔48%，2至5名合夥人的 40% are firms with 2 to 5 partners, 10 are limited liability 律師行佔40%，10間為按照《法律執業者條例》 partnerships formed pursuant to the Legal Practitioners Ordinance) 組成的有限法律責任合夥律師行) Registered foreign law firms 81 (11 are limited liability partnerships formed 註冊外地律師行 81 (11間為按照《法律執業者條例》 pursuant to the Legal Practitioners Ordinance) 組成的有限法律責任合夥律師行) Civil Celebrants 2,086 婚姻監禮人 2,086 Reverse Mortgage Counsellors 445 安老按揭輔導法律顧問 445 Solicitor Advocates 48 訟辯律師 48 (43 in civil proceedings, 5 in criminal proceedings) (民事程序：43位，刑事程序：5位) Student Members 406 學生會員 406 Registered Associations between Hong Kong law firms and 36 香港律師行與外地律師行 36 registered foreign law firms (including Mainland law firms) (包括內地律師行)在香港聯營

www.hk-lawyer.org 11 • February 2017 DISCIPLINARY DECISIONS 紀 律 裁 決

Christopher Paul Erving (“Respondent”), 魏禮榮(下稱「答辯人」)為律師 a solicitor •《律師執業規則》(「《執業規則》」)第2(a)、(b)、(c)、 • Rule 2(a), (b), (c), (d), (e) and (f) of the Solicitors’ Practice Rules (d)、(e)及 (f)條 (“SPR”) •《律師帳目規則》(「《帳目規則》」)第7及9A條 • Rules 7 and 9A of the Solicitors’ Accounts Rules (“SAR”) •《香港事務律師專業操守指引》第一冊(第二版) • Principles 6.04, 12.04 and 12.05 of The Hong Kong Solicitors’ Guide to Professional Conduct (Volume 1–2nd Edition) (“Guide”) (「《指引》」)第6.04、12.04及12.05條原則 • Common law offence of misconduct • 普通法的不當操守

Hearings: 聆訊日期： 3 February 2015, 25 March 2015, 1 December 2015 and 30 May 2016 2015年2月3日、2015年3月25日、2015年12月1日及 Findings: 2016年5月30日 31 August 2016 裁斷： Reasons and Order: 2016年8月31日 7 December 2016 理由及命令： On 31 August 2016, the Solicitors Disciplinary Tribunal found the 2016年12月7日 following complaints against the Respondent proved: 律師紀律審裁組(下稱「審裁組」)於2016年8月31日裁斷 First Complaint Breaches of r. 2(a), (c), (d), (e) and (f) of the SPR in that he perjured 對答辯人作出以下申訴證明屬實： himself in two affidavits sworn on 9 November 1994. 第一項申訴 Second Complaint 答辯人於1994年11月9日作出兩項虛假誓章，因而違反 Breaches of r. 2(a), (b), (c) and (d) of the SPR in that he agreed to act 《執業規則》第2(a)、(c)、(d)、(e)及 (f)條。 for a client (“Client”) in divorce proceedings then underway between 第二項申訴 the Client and her husband, despite previously having obtained confidential information from her husband. 答辯人同意在一名客戶（「客戶」）與其丈夫的離婚訴訟 代表該名客戶，儘管之前已從她的丈夫處獲得機密信息， Third Complaint 因而違反《執業規則》第2(a)、(b)、(c)及(d)條。 A breach of r. 2(a), (b), (c), (d) and (f) of the SPR in that he issued bankruptcy proceedings against the Client’s husband and obtained 第三項申訴 a charging order over the matrimonial home, which placed him into 答辯人向客戶的丈夫提出破產訴訟，並就其婚姻住所取得 conflict of interest with the Client. 押記令，使他與客戶存在利益衝突，因而違反《執業規 Fourth Complaint 則》第2(a), (b), (c), (d)及(f)條。 Breaches of r. 7 of the SAR in that on four occasions money was 第四項申訴 improperly drawn from the firm’s client account. The Respondent pleaded guilty to this Complaint. 答辯人的律師行當事人帳戶內款項四度被提取，因而違反 《帳目規則》第7條。 Fifth Complaint Breaches of r. 9A of the SAR in that he failed to remedy promptly, 答辯人承認此項申訴。 after discovery, breaches of the SAR, by replacing money improperly 第五項申訴 withdrawn from the client account. 答辯人在發現違反《帳目規則》後，沒有從速作出補救，

12 www.hk-lawyer.org February 2016 • DISCIPLINARY DECISIONS 紀 律 裁 決

The Respondent pleaded guilty to this Complaint. 以填補當事人帳戶被不當提取的款項，因而違反《帳目規 則》第9A條。 Sixth Complaint Breaches of Principles 12.04 and 12.05 of the Guide and r. 2 of the 答辯人承認此項申訴。 SPR in that he did not pay or challenge promptly a fee note delivered by a Senior Counsel on 12 May 2011 and did not pay that fee note 第六項申訴 within two months. 答辯人沒有及時支付或質疑一名資深大律師於2011年5月 12日發出的收費單，以及沒有在兩個月內支付該收費單， The Respondent pleaded guilty to this Complaint. 因而違反《指引》第12.04及12.05條原則及《執業規則》 Eighth Complaint 第2條。 A breach of Principle 6.04 of the Guide in that he failed to respond to enquiries from the Law Society seeking his explanation on his 答辯人承認此項申訴。 conduct. 第八項申訴 The Respondent pleaded guilty to this Complaint. 答辯人沒有回應律師會就其行為作出解釋的查詢，因而違 Ninth Complaint 反《指引》第6.04條原則。 A breach of Principle 6.04 of the Guide in that he failed to respond to 答辯人承認此項申訴。 enquiries from the Law Society seeking his explanation on his conduct and provide the accounting documents requested by the Law Society. 第九項申訴 答辯人沒有回應律師會就其行為作出解釋的查詢，及按律 The Respondent pleaded guilty to this Complaint. 師會要求提供帳目文件，因而違反《指引》第6.04條原則。 Tenth Complaint The common law offence of misconduct on account of all the above 答辯人承認此項申訴。 complaints. 第十項申訴 The Seventh Complaint was withdrawn. 基於上述所有申訴，構成普通法的不當操守。 On 7 December 2016, the Tribunal ordered that: 第七項申訴已撤銷。

1. the Respondent’s name be struck off the Roll of Solicitors, in light 審裁組於2016年12月7日作出以下命令： of the guilty findings under Complaints 1, 2, 3 and 10; 1. 鑑於裁斷第一、第二、第三及第十項申訴屬實，答辯人 2. the Respondent be fined: 的名字從律師登記冊上除名； (a) HK$40,000 in respect of Complaint 4; 2. 答辯人罰款： (b) HK$40,000 in respect of Complaint 5; (a) 就第四項申訴，港幣40,000元； (c) HK$5,000 in respect of Complaint 6; (b) 就第五項申訴，港幣40,000元； (d) HK$20,000 in respect of Complaint 8; (c) 就第六項申訴，港幣5,000元； (e) HK$20,000 in respect of Complaint 9; and (d) 就第八項申訴，港幣20,000元； (e) 就第九項申訴，港幣20,000元；及 3. the costs of these proceedings, including the costs of the Law Society in its investigation, the costs of the Solicitors for the Law 3. 答辯人須支付此等程序的費用，包括律師會調查費用和 Society, the costs of the Clerk to the Tribunal and the reserved 律師會律師費用、審裁組書記費用，以及保留待判的訟 costs, be paid by the Respondent on an indemnity basis. 費，金額按彌償基準評定。

Mr. Geoffrey Shaw (of Haley Ho & Partners), Prosecutor for the Law 代表香港律師會檢控員Geoffrey Shaw先生(Haley Ho Society of Hong Kong & Partners律師行) The Respondent acting in person 答辯人親自應訊 Mr. Patrick M. K. Hui, Clerk to the Tribunal 審裁組書記許文傑先生

Tribunal Members: 審裁組成員： Mr.. Paul C. Y Tan (Chairman) 陳傳仁先生 (主席) Ms. Alison T.K. Wong 黃德琪女士 陳銘遜先生 Captain Chan Ming-shun

www.hk-lawyer.org 13 • February 2017

14 www.hk-lawyer.org February 2017 • COVER STORY 封 面 專 題

Face to Face with Theresa Johnson Law Draftsman, Department of Justice

By Cynthia G. Claytor

Theresa Johnson, Law Draftsman at the Department of Justice’s Law Drafting Division, talks about her career and reveals the Division’s 2017 priorities, which include launching a new platform in late February that will transform electronic access to Hong Kong’s legislation.

rom the atmospheric Man Mo which she has described as one of the into existence. I will be forever grateful FTemple to the neo-classical-style fundamental building blocks of Hong for that light bulb moment. I had found Court of Final Appeal Building, Hong Kong’s legal framework. Ms. Johnson my niche!” Kong’s heritage is one of East-meets- indicated that the LDD, comprising 40 Apart from a brief flirtation with West. One needs to look no further than lawyers and 75 law clerks, language academia when she lectured in our bilingual common law system for an experts, secretaries, calligraphists and Constitutional Law and Administrative example of this melding of influences. administrative and clerical staff, has a Law, Ms. Johnson has focused the last Ensuring that both Chinese and English strong sense of purpose and cooperation 30 years of her practice on legislative speaking people have full and equal and is heartened when she hears them drafting. “It has a clear social value. access to Hong Kong’s laws in their own warmly talk about “the LDD family”. It involves communication and language is a responsibility Theresa collaboration and is intellectually Johnson takes very seriously as the Light Bulb Moment challenging. For me, this is perfect and new Law Draftsman of the Department Ms. Johnson’s desire to contribute when you add the relationship and of Justice’s Law Drafting Division (or to society, coupled with her love of strategic aspects of leading a drafting LDD). Bilingual legislation in Chinese language and analytical thinking, and publishing division, I couldn’t be and English has unique challenges motivated her to study law. After happier,” she said. and Ms. Johnson believes members of graduating from the University of the legal sector, as well as the general Queensland in Brisbane, she joined Law Drafting Division’s 2017 public, are ideally placed to contribute a local law firm and practiced in Priorities to future developments in how Hong litigation. Her next move was to the From launching a new platform that Kong’s laws are drafted and published. UK to undertake post-graduate study will transform electronic access to She extends a warm welcome to them at Cambridge University. While there, Hong Kong’s legislation to assisting the to give their feedback and suggestions. she came across an advertisement for a Government to complete its packed legislative drafter back in Australia. As the Law Draftsman, Ms. Johnson legislation programme, Ms. Johnson leads the highly experienced LDD “Until then, I had never given much revealed that 2017 will be a busy year for team to draft and publish legislation, thought to how draft legislation came the LDD.

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BLIS to Hong Kong e-Legislation has recently announced the new system official version in the Loose-Leaf Edition Transition is to be called ‘Hong Kong e-Legislation’ of the Laws of Hong Kong. All of these “The Division’s role in the drafting of (HKeL for short),” she said. processes are quite time-consuming, she explained. legislation is well known, but less so As well as providing the existing is its publishing work. Access to law functions of BLIS, HKeL introduces new Ensuring a quality user experience is is essential to the rule of law. This is tools to deliver a better user experience, very important to the LDD. In developing not just about people being able to including on mobile devices. These HKeL, they have relied on feedback from understand the law. It is also about include: a liaison group and contributions made people being able to access copies of the by representatives from professional • new features that will allow users to law,” Ms. Johnson explained. bodies, the Judiciary and the Legal view legislation in monolingual or Service Division of the Legislative “2017 will mark the culmination of a bilingual mode, on either a whole Council Secretariat. Ms. Johnson also project begun in 2013 to transform chapter or individual section basis. electronic access to Hong Kong’s encourages users to give feedback on • better research functions that will legislation. Our plan is that on Friday, the new system at the email address enable users to easily find legislation 24 February, the current system (the provided on the website. as at a particular point in time and to Bilingual Laws Information System or navigate, by timeline and drop-down “We aim to make the transition from BLIS BLIS) will be replaced by a new state box, through both current and past to HKeL as easy as possible for everyone of the art system, designed by a team versions. so, after the launch, users will be able within the LDD in collaboration with the to access the new system through department’s Information Technology • a subscription service that will keep the BLIS website and there will be an Management Unit and a contractor. The users up-to-date about legislative automatic redirect to the new website Secretary for Justice, Rimsky Yuen SC, changes. after about 15 seconds. For users who According to Ms. Johnson, the most want to go directly to the new system, significant difference between the the address is: http://www.elegislation. systems is that users will be able to gov.hk. Information about the new print copies of verified legislation with system will be available for all users and legal status from HKeL. “Initially, over includes a series of short multimedia 100 verified items will be available but clips in Chinese and English that explain ultimately we aim to make the entire the major search functions and how to Hong Kong Statute Book available in update printed verified copies,” she said. verified form with legal status. Users will also be able to use a print-on-demand Other Priorities service to buy hard copies of verified Once HKeL has been launched, the legislation from the Information Services LDD’s main priority for 2017 will be to Department.” Legal status is given to produce its core drafting and publishing verified legislation under the Legislation work. The Government has a significant Publication Ordinance (Cap. 614). legislative programme to be completed. Apart from the legislation mentioned Ms. Johnson indicated that it has not by Ms. Christina Cheung, Law Officer been possible for the LDD to verify all (Civil Law), Department of Justice, in legislation immediately. “While digital the January issue (for example, the copies of legislation are available in the Apology Bill and the Arbitration and BLIS system, they are for information Mediation Legislation (Third Party purposes only. This means that before Funding) (Amendment) Bill 2016), an item of legislation can be given Ms. Johnson indicated that legislation official status in the HKeL system, the has been announced on a range of data needs to undergo a rigorous quality other matters, including regulating the assurance process,” she said. This travel industry, the supply and use of entails not only checking and updating medical devices, the local trade of ivory, the formatting, but, more importantly, and the cross-boundary movement of checking the law’s text against the physical currency and bearer negotiable

16 www.hk-lawyer.org February 2017 • COVER STORY 封 面 專 題

instruments. “Of particular interest to Clarity experts have explained that “a members of the legal profession will communication is in plain language, if be draft legislation to give the court the language structure and design are discretion to permit complainants of so clear that the intended audience can certain sexual offences to give evidence easily find what they need, understand by way of live television link and what they find and use that information.” legislation to reform some aspects of Ms. Johnson says she completely agrees employment law,” she said. with this statement. “Does our draft legislation communicate well to the Plain Language Proponent people who will use it? – that’s what our Turning to issues of style, Ms. Johnson job as legislative drafters is all about. indicated that she has been a long-term This question is always at the forefront plain language campaigner, having of my mind when I read a draft Bill,” she been involved in the movement since said. it began in Australia. “Back when the topic was still a novel one, I delivered Advancing Bilingual a public address called Goodbye to Legislation Gobbledygook, and worked with the then Another challenge the LDD faces is in Queensland Parliamentary Counsel to advancing bilingual legislation. Hong introduce plain language reform in that Kong has a relatively short history of jurisdiction,” she said. drafting and maintaining legislation in As for Hong Kong’s drafting style, plain both Chinese and English. Starting in language has been an increasingly 1986, the LDD undertook word-for-word important mantra within the LDD since renditions of all of the existing English the late 1990s and is seen as the key laws into Chinese. As part of this, it was to being able to communicate the law. necessary to create Chinese terms to “It is more than simply using short equate to English legal terms where sentences and avoiding legalese. It is there was no equivalent. Since then, the skill of distilling complex thinking much progress has been made. LDD has into clear text and a mindset that puts the reader’s experience at the centre,” she explained. As new formatting guidelines were released in 2010 and a style guide based on plain language principles was published in 2012, she indicated that incremental improvements are what lie ahead. The LDD plans to keep format and style matters under review and to stay abreast of international developments. She noted that two LDD counsel recently updated the Division after attending the 2016 Clarity Conference held in New Zealand. Clarity is an international organisation advocating plain legal language.

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moved beyond word-for-word renditions and it is likely that two more lawyers my predecessors and the LDD have and the new Chinese terms have gained will be recruited in 2017. already accomplished and the vision that a level of recognition and acceptance, the Secretary for Justice has articulated,” However, for lawyers interested in Ms. Johnson explained. she said. becoming legislative drafters, Ms. Both English and Chinese texts in Johnson advises reading widely, honing She also expressed her appreciation Hong Kong legislation are of equal your analytical skills and staying for her colleagues’ warm welcome. She status. Neither is subsidiary to the abreast of current affairs. “Drafting is beamed as she spoke of the lengths other. “With a view to further improving about communicating in accordance to which her LDD colleagues went to the readability of both texts, certain with language rules. Reading widely is welcome her to the team, efforts that strategies are being employed or are of great benefit to ensure that what you included filming a surprise video that being tested. For example, steps are write (whether in Chinese or English) was played at a farewell function in taken to adjust the two texts throughout conforms to language rules and flows her previous office, the Office of the the drafting process and the Chinese well. At its simplest, legislative drafting Queensland Parliamentary Counsel. n text is prepared first in some projects,” is about turning a policy proposal into a she said. clear and effective law and, for this, high level analytical skills are a prerequisite. “The LDD is committed to making It also helps to be a practical person. Chinese and English legislation And while legislative drafters must be more comprehensible. As stated by studiously apolitical, they are part of the Secretary for Justice, during his the political process and need to have address at the Translation and the a good understanding of current affairs Professions Symposium organised by and be politically aware.” the Hong Kong Translation Society in November last year, there is still room As a matter of interest, the final stage for improvement in the way Hong Kong of recruitment for Government Counsel legislation is drafted and made. We will for the LDD consists of a written test make continual efforts to make our laws requiring applicants to do various Theresa Johnson as simple and clear as possible without tasks including one that involves Law Draftsman, Department of Justice taking away from precision.” detecting errors in a written passage, one that involves analyzing sample In terms of publishing, bilingual Ms. Theresa Johnson was admitted drafting instructions, and one that legislation has a special set of as a Solicitor of the Supreme Court involves translating a literary passage challenges. “One of the main challenges of Queensland in Australia in 1984. from English to Chinese. Ms. Johnson is that not all developments in digital She has some 30 years of drafting indicated that the LDD has found that technology for English text are available experience and has drafted a a strong performance on the written yet for Chinese text. No doubt, this significant quantity of sensitive and test, when taken with an applicant’s will change. Another challenge is the highly complex legislation across a interview performance, is an excellent LDD effectively has a double workload range of subject areas. After serving in predictor of aptitude for legislative associated with maintaining a Statute the Office of Parliamentary Counsel, drafting. Book in two languages.” Canberra, in Australia and taking That said, these challenges will not A Sense of Appreciation up different teaching posts in the Australian National University and prevent the launch of the new Hong When reflecting on her first year as Law Queensland University of Technology Kong e-Legislation system, Ms. Johnson Draftsman, Ms. Johnson said she had in her early career, Ms. Johnson confidently indicated. been blessed with a smooth transition joined the Office of the Queensland into her current role; a transition which Parliamentary Counsel (“OQPC”) How to Become a Legislative she believes is due in large part to the in 1991. During her more than 20 Drafter in Hong Kong contributions of the current LDD team With the total number of legislative (including her deputies, Gilbert Mo years’ service in the OQPC she took drafters being less than 40, the number and Fanny Ip) and her predecessors up a number of senior positions of vacancies for lawyers interested in (including Tony Yen, Eamonn Moran and advanced to the head post of becoming legislative drafters is small. and Paul Wan). “What the LDD can Parliamentary Counsel in 2010. Three lawyers were recruited in 2016 achieve in 2017 heavily relies on what

18 www.hk-lawyer.org February 2017 • COVER STORY 封 面 專 題

專 訪 莊綺珊 律政司法律草擬專員

作者 Cynthia G. Claytor

律政司法律草擬科法律草擬專員莊綺珊暢談她的事業生涯，並細說法律草擬科2017 年的首要工作，包括在2月下旬啓用新平台，改革閱覽香港電子版法例的方式。

港文化遺產，由歷史氛圍濃厚的 容此乃香港法律框架的重要基石之一。莊 例是怎麼一回事。我永遠不會忘記那次 香文武廟至建築風格呈現新古典主 女士表示，由40名律師及75名律政書記、 眼前一亮的感覺。我就這樣找到了適合 義的終審法院大樓，薈萃中西方文化特 語言專家、秘書、繕校員和行政人員及文 我的工作！」 色。要列舉香港中西共融的例子，只需 員組成的法律草擬科，具有極強的使命感 除了曾經在大學教授憲法和行政法，短暫 要看看我們雙語同等真確的普通法制度 和高度的合作精神；當她聽到同僚傾談「 從事過教學工作之外，莊女士過去三十年 就可以了。作為律政司法律草擬科新任 草擬科大家庭」的時候，感覺溫馨，心情 一直專注於法律草擬工作。她說：「這份 法律草擬專員的莊女士，職責之一是確 振奮。 工作明顯具有社會價值，既講究人與人之 保華語人士和英語人士同樣能夠全面閱 間的溝通合作，也挑戰人類智慧。對我來 覽用自己語言擬定的香港法例；莊女士 眼前一亮，機會乍現 說實在是好極了，當也想到帶領負責草擬 格外看重這項責任。中英雙語立法帶來 莊女士一心渴望能夠貢獻社會，她熱愛語 和發布法例的部門需要人際技巧和策略的 獨特的挑戰，莊女士相信，將來香港法 文，也愛分析，愛思考，因此修讀了法律 運用，我簡直是喜不自勝。」 例的草擬和公布如何發展，有賴現正處 課程。她在澳洲布利斯班的昆士蘭大學讀 於最佳位置的法律領域人士及普羅大眾 書，畢業後加入當地一家律師行專責訴訟 法律草擬科2017年的首要工作 事務，後來轉到英國劍橋大學修讀研究生 所作出的貢獻。她衷心希望他們向法律 由啓用新平台以改革閱覽香港電子版法 課程。在英國的時候，她無意間看到一則 草擬科發表意見並提供建議。 例的方式，至協助政府完成緊密的立法 招聘法例草擬人員到澳洲工作的廣告。 作為法律草擬專員，莊女士帶領法律草 計劃，莊女士透露2017年會是法律草擬 擬科的資深同僚草擬並發布法例，她形 「在此之前，我從來沒有認真想過草擬法 科忙碌的一年。

www.hk-lawyer.org 19 • February 2017

由「雙語法例資 料系統」過渡至「電 子版香港法例」 她解釋：「草擬法例是本科廣為人知的 職責，但較少人知道本科也負責發布工 作。法律可供大眾取覽是法治的基本元 素。這不單只關乎使人能夠認識法律， 也關乎使人能夠閱覽法例文本。」

她說：「我們會在2017年完成一項在 2013年已經開始的項目，就是改革閱覽 香港電子版法例的方式。我們計劃現時 的系統(『雙語法例資料系統』)在2月24 日(星期五)被先進的新系統取替。新系統 由法律草擬科內部團隊聯同部門資訊科 技管理組，以及合約承辦商合作設計。 律政司司長袁國強資深大律師近日已經 宣布，新系統稱為『電子版香港法例』 。」 然『雙語法例資料系統』有法例的電子 其他工作重點 版本，但是只供參考之用。這意味某項 除了提供「雙語法例資料系統」的現有 「電子版香港法例」一經啓用，法律草 法例被納入『電子版香港法例』系統而 功能之外，「電子版香港法例」也引進 擬科2017年的主要工作會是完成其最 獲給予正式地位之前，有關資料需要經 新功能，包括配合流動裝置的新功能， 重要的草擬和發布工作。政府須完成一 過嚴謹的質量保證程序。」這不單必須 為用戶提供更佳體驗。 項宏大的立法計劃。莊女士表示，除了 檢查並更新版面格式，更重要的是，也 律政司民事法律專員張錦慧在一月份期 • 新功能讓用戶可以選擇以單語或雙語 要檢查法律文本內容是否與香港法例活 刊提及的法例(例如《道歉條例草案》和 閱覽法例，也可以選擇閱覽整章法例 頁版一致。整個程序需耗用相當長的時 《2016年仲裁及調解法例(第三者資助)( 或個別條文。 間。 修訂)條例草案》)之外，多項涉及其他事 • 提升進行法例研究的功能，讓用戶輕 確保用戶有優質體驗對於法律草擬科來 宜的立法計劃已經公布，規管範疇包括 易找到在某個時間點有效的法例版 說，非常重要。在開發「電子版香港法 旅遊業、醫療設備的供應和使用、本地 本，也可以通過時間線和下拉式方 例」的過程中，他們靠賴聯絡組給予的 象牙貿易，以及跨境運送實物貨幣和不 格，便捷地瀏覽法例的現行及過去版 意見和作出的貢獻。聯絡組成員包括專 記名可轉讓票據。她說：「法律專業人 本。 業團體、司法機構和立法會秘書處法律 員特別值得關注的，是給予法庭酌情決 • 訂閱服務讓用戶將能夠緊貼法例的最 事務部的代表。莊女士亦鼓勵用戶透過 定權批准某些性罪行申訴人以電視直播 新修改。 網站提供的電郵地址，就新系統向法律 聯繫的方式作供的法例草稿，以及改革 草擬科提供意見。 按照莊女士所言，兩套系統最大的分別 僱傭法某些方面的法例草稿。」 是，用戶能夠從「電子版香港法例」列 她說：「我們盡量簡化由『雙語法例資 淺白語文的倡議者 印具有法律地位的經核證法例文本。「 料系統』過渡至『電子版香港法例』的 我們轉而談到文體的問題，莊女士表示 我們起初會提供100項以上經核證法例， 過程，務求新系統啓用之後，進入『雙 她是淺白語文的長期倡議者，她在澳洲 但最終目的是提供整套經核證並具有法 語法例資料系統』網站的用戶，會在大 開始有支持運動的時候已經站出來擁護 律地位的經編訂法例給公眾閱覽。用戶 約15秒之後自動被轉至新系統的網站。 淺白語文。她說：「回想當這個議題仍 也可以利用『按需求印刷』服務，向政 用戶也可以直接進入新系統，新系統網 算新鮮的時候，我公開發表過一篇題為 府新聞處購買紙張版本的經核證法例。 址是http://www.elegislation.gov.hk。 Goodbye to Gobbledygook的講辭， 」根據《法例發布條例》(第614章)，經 我們會向所有用戶提供有關新系統的資 並與當時的昆士蘭法律草擬主管合作， 核證法例是具有法律地位的。 料，包括一系列中文或英文旁白的多媒 在昆士蘭司法管轄區推行淺白語文改革 體短片，向用戶解釋主要搜索功能，以 莊女士指出，法律草擬科不可能一瞬間 運動。」 及如何更新已經列印的經核證文本。」 就把全部法例核證妥當。她解釋：「雖 至於在香港草擬法例優先考慮的文體，

20 www.hk-lawyer.org February 2017 • COVER STORY 封 面 專 題

自從90年代末期開始，淺白語文逐漸成 草擬過程採取步驟調較兩種文本，並在 由英文翻譯成中文。莊女士表示，連 為法律草擬科內部的重要文體，更被視 部分項目中首先準備中文文本。」 帶申請人的面試表現一併考慮，筆試 為法律交流的關鍵元素。她解釋：「淺 的成績甚能顯示申請人草擬法例的能 「本科致力使中英文法例更易理解。正 白語文不只是寫短句和避免使用深奧難 力，成績卓越的，草擬能力也強。 如律政司司長在香港翻譯學會去年11月 解的法律術語。這是一種技巧，講求理 舉辦的『翻譯與專業研討會』上發表演 清思緒，以淺白文字表達複雜的思想， 感激之言 說時表示，香港法例的草擬和制定方法 並要抱有以讀者的體驗為主要考慮的心 回想第一年出任法律草擬專員的點滴， 仍有改善空間。我們會繼續努力，盡量 態。」 莊女士覺得上天一直很眷顧她，讓她可 保持法例簡單清晰但又不損其準確性。 以順利融入新角色；她相信過程順利， 新的格式指引已於2010年發布，以淺白 」 很大程度緣於現任法律草擬科團隊(包括 語文原則為基礎的文體指引亦已於2012 在發布法例方面，雙語立法另有一連串 副法律草擬專員毛錫強和葉鳳瓊)及前任 年發布；莊女士指出，現時要做的是循 特別的挑戰。「主要挑戰之一是，並非 法律草擬專員(包括嚴元浩、文偉彥、尹 序漸進地作出改善。法律草擬科計劃 所有英文文本適用的電子技術發展可供 效良)作出的貢獻。她說：「法律草擬科 持續檢討格式和文體，並緊貼國際最新 中文文本使用。毫無疑問，這種情況是 在2017年能夠達到的成果，在很大程度 發展。她提到，法律草擬科兩名政府律 會改變的。另一項挑戰是，法律草擬科 上仗靠前任人和本部已經完成的工作， 師最近出席完在新西蘭舉行的2016年 的工作量實際上增加了一倍，因為經編 以及律政司司長詳細描述的願景。」 Clarity會議之後，向法律草擬科同事講解 訂法例是以中英文兩種語言編制的。」 最新發展。Clarity是提倡淺白法律語言的 莊女士亦向熱烈歡迎她的同僚表達謝 莊女士充滿信心地表示，縱然如此，上 國際組織。 意。她滿面笑容，娓娓憶述法律草擬科 述挑戰不會阻礙新「電子版香港法例」 同僚為了歡迎她所花的心思，包括拍攝 Clarity的專家解釋，「溝通時用的是淺 系統的啓用。 錄影片段在昆士蘭國會律師辦公室的歡 白語言，如果語言結構和設計都十分簡 送會上播放，給她帶來意外驚喜。n 單，擬接收訊息的聽眾就能夠輕易找到 如何在香港成為法律草擬人員 他們所需要的訊息，也明白他們所找到 法律草擬人員現時總人數不足40名，可 的訊息，繼而使用該訊息。」莊女士完 供有興趣成為法律草擬人員的律師應徵 全贊同這個說法。她說：「我們的法例 的空缺數目有限。法律草擬科在2016年 草稿有沒有好好傳達訊息給將會使用法 招聘了三名律師，2017年有可能會多招 例的人呢？這正是我們作為法例草擬者 聘兩名。 要做的工作。當我翻閱草案草擬稿時， 然而，莊女士建議有興趣成為法律草擬 這個問題總在我心頭縈繞。」 人員的律師博覽群書，磨練自己的分析 完善雙語立法 能力，並且緊貼時事大勢。「草擬工作 是按語言規則與人溝通。博覽群書是大 另一個法律草擬科要面對的挑戰是完善 莊綺珊 有益處的，可以確保你寫的(不論是中文 雙語立法。香港草擬並維持以中英文立 律政司法律草擬專員 還是英文)符合語言規則，文筆流暢。用 法的歷史很短。1986年開始，法律草 最簡單的方法來說，草擬法例是把政策 擬科將所有現存的英文法例逐字翻譯為 莊綺珊女士於1984年在澳洲昆士蘭最 建議變成清晰並有效的法例，因此，具 中文。為了完成這項工作，法律草擬科 高法院取得事務律師資格。她有近三 有高超的分析能力是先決條件。注重實 有必要在英文法律用語沒有中文對等詞 十年法律草擬工作經驗，並曾草擬大 務的人也有會點優勢。雖然法律草擬人 的時候，創造對等的中文新詞。自此以 量敏感或非常複雜、涵蓋不同範疇的 員必須是時刻保持政治中立，但是他們 後，法律草擬科的工作有了很大進展。 法例。她早年曾在澳洲堪培拉國會律 是政治過程中的其中一員，因此也必須 莊女士解釋，法律草擬科不單逐字翻譯 師辦公室服務，並在澳洲國立大學和 充分了解時事，並且具有政治觸角 了法例，創造的中文新詞也得到某程度 。」 澳洲昆士蘭科技大學擔任不同教學崗 的認可和接納。 大家可能有興趣知道，進入法律草擬科 位，其後於1991年加入昆士蘭國會律 政府律師招聘程序最後階段的申請 師辦公室。她服務昆士蘭國會律師辦 香港法例的中英文文本具有同等地位， 人，必須通過筆試；筆試分幾個部 公室逾二十年期間，曾擔任多個不同 沒有主次之分。她說：「為了進一步使 分，包括在一篇文章裡找錯處、解析 高級職位，並於2010年晉升為國會律 中英文文本更易讀易明，法律草擬科正 草擬指示樣本，以及將一段文學作品 師首長。 採用或正測試某些對策。例如，在整個

www.hk-lawyer.org 21 • February 2017

LAW SOCIETY NEWS 律師會新聞

The Law Society 2016 Pro Bono and Community Service Award Presentation Ceremony Graced with the presence of Chief Justice Geoffrey Ma and Secretary for Justice Rimsky Yuen, the Law Society Pro Bono and Community Service Award Presentation Ceremony was held on 16 December 2016. The Ceremony kicked off with a cocktail reception that was well attended

by distinguished guests from the Chief Justice Geoffrey Ma (fifth from left), Secretary for Justice Rimsky Yuen (fifth from right), President Thomas So (first government, non-governmental from left), Vice Presidents Melissa Pang (second from right) and Amirali Nasir (first from right) with members of the organisations and charitable judging panel. 終審法院首席法官馬道立(左五)、律政司司長袁國強資深大律師(右五)、會長蘇紹聰律師(左一)、副會長彭韻僖律師(右二) organisations. Council Members of the 及黎雅明律師 (右一)，與評審委員會成員。 Law Society, awardees, and their friends and families also attended. Hong Kong Federation of Youth Groups; Community Service Awards. Four law and Ms. Melissa Pang, Vice President firms, Hogan Lovells, King & Wood A total of 26 law firms and 117 members of the Law Society and Chairperson of Mallesons, Latham & Watkins and received awards at the Ceremony, the Pro Bono and Community Work Linklaters were recognised with the including the Distinguished Pro Bono Recognition Committee. Distinguished Pro Bono Law Firm Service Awards, the Distinguished Awards. Community Service Awards, the Mr. Nick Chan, Ms. Vena Cheng and Distinguished Pro Bono Law Firm Mr. Chong Yiu Kwong all received the For the list of 2016 awardees and more Awards, Individual Awards, as well as the Distinguished Pro Bono Service Awards event photos, please visit our website: Law Firm Awards. while Mr. Eric Cheung and Ms. Pauline http://www.hklawsoc.org.hk/pub_e/ Wong received the Distinguished probono/news.asp. The recipients of the three types of Distinguished Awards were selected by a judging panel for their outstanding contribution and commitment to pro bono and community work throughout the year. The panel comprised Professor Alfred Chan, Chairperson of the Equal Opportunities Commission; Ms. Serina Chan, Council Member of the Law Society and Chairperson of the Pro Bono Committee; Mrs. Angelina Cheung, Deputy Secretary for Education; Ms. Florence Hui, Under Secretary for Home Affairs; Mr. Ip Shing Hing, Past President of the Law Society; Mr.Thomas Chief Justice Geoffrey Ma (left) and Secretary for Justice Rimsky Yuen (right) delivering speeches at the Ceremony. Kwong, Director of Legal Aid; Mr. Ken 終審法院首席法官馬道立(左)及律政司司長袁國強資深大律師(右)在頒獎典禮上致辭。 Ngai, Deputy Executive Director of the

22 www.hk-lawyer.org February 2017 • LAW SOCIETY NEWS 律 師 會 新 聞

律師會2016年公益法律服 務及社區工作獎頒獎典禮 律師會2016年公益法律服務及社區工 作獎頒獎典禮於2016年12月16日舉 行，榮幸邀得終審法院首席法官馬道 立及律政司司長袁國強資深大律師擔 任主禮嘉賓。

來自政府、非政府組織和慈善團體的 嘉賓出席頒獎典禮前的雞尾酒會，為 頒獎典禮揭開序幕。一眾律師會理事 會成員、得獎者以及他們的親友亦一 同出席是次活動。 The awardees of Distinguished Pro Bono Law Firm Awards. 本年度共有26間律師行及117位律師 「傑 出 公 益 律 師 行 獎 」的 得 獎 者。 得獎，獎項包括「傑出公益法律服務 獎」、「傑出社區服務獎」、「傑出 律師。 公益律師行獎」、「公益律師獎」及 陳曉峰律師、鄭慧恩律師及莊耀 「公益律師行獎」。 洸律師獲得「傑出公益法律服務 三項傑出獎項的得獎者均由評審委員 獎」，而張達明律師及王婕妤律 會選出，以表揚他們對公益法律服務 師則獲得「傑出社區服務獎」。 的貢獻。評審委員會成員包括平等機 「傑出公益律師行獎」則頒予 會委員會主席陳章明教授、律師會理 霍金路偉律師行、金杜律師事務 事兼公益服務委員會主席陳潔心律 所、瑞生國際律師事務所及年利 師、教育局副秘書長張馮泳萍女士、 達律師事務所。 民政事務局副局長許曉暉女士、律師 會前會長葉成慶律師、法律援助署署 2016年的得獎者名單及更多相 片，請瀏覽律師會網站：http:// 長鄺寶昌律師、香港青年協會副總幹 Mr. Nick Chan (first from left), Ms. Vena Cheng (first from right) and www.hklawsoc.org.hk/pub_c/ Mr. Chong Yiu Kwong (second from right) received the Distinguished Pro 事魏遠強先生及副會長兼公益法律服 Bono Service Awards. probono/news.asp。 陳曉峰律師(左一)、鄭慧恩律師(右一)及莊耀洸律師(右二)獲得「傑出公益法 務及社區工作嘉許委員會主席彭韻僖 律 服 務 獎 」。

Mr. Eric Cheung (first from right) and Ms. Pauline Wong (first from Awardees with distinguished guests and Council Members of the Law Society at the Cocktail Reception. left) were recognised with the Distinguished Community Service 得獎者、嘉賓及律師會理事出席雞尾酒會。 Awards. 張達明律師(右一)及王婕妤律師(左一) 獲得「傑出社區服務獎」。

www.hk-lawyer.org 23 • February 2017

The Hong Kong Academy of 香港法律專業學會 Law 香港法律專業學會於2016年 The Hong Kong Academy of Law (“Academy”) 12月舉辦了合共15場專題講 organised 15 seminars in December 2016. 座。 A seminar entitled “Big Data, Artificial 2016年1 2 月1 2 日舉行的 Intelligence and Privacy” was held on 專題講座以「大數據﹑人工 12 December 2016. It introduced participants to the recent applications of big data 智能和私隱」，向與會者介 analysis and artificial intelligence, explained 紹了大數據分析和人工智能 the challenges brought by these innovative 的最新應用，解釋這些創新 technologies to privacy and personal data 技術對私隱和保護個人數據 protection and discussed the conduct 帶來的挑戰，並討論了使用 issues when using artificial intelligence and 人工智能和信息通信技術時 The speakers of the seminar were Mr. Stephen Kai-yi Wong, Privacy information communication technology. Commissioner for Personal Data, Hong Kong and Mr. Amirali B. Nasir, 的操守問題。131名與會者出 Solicitor, Nasirs. 131 participants attended the seminar. 講座的專者包括香港個人資料私隱專員黃繼兒、黎雅明律師行事務律師 席了該講座。 黎 雅 明。

The Law Reform on Child Custody and Access: Meeting with Legislative Council members On 13 January, the Law Society's Family Law Committee had a meeting with three Legislative Council members. At the meeting, the parties exchanged views on the proposed Children Proceedings (Parental Responsibility) Bill.

就子女管養權及探視權法律改革與立 (From left to right): Mr. Anthony Hung (Vice-Chairperson of Family Law Committee), Mr. Dennis Ho 法會議員會面 (Chairperson of Family Law Committee), Ms. Winnie Chow (Member of Family Law Committee), Ms. Karen Lam (Member of Family Law Committee), Mr. Steven Leung (Member of Family Law Committee), Ms. Kally 律師會家事法委員會成員於1月13日與3位立法會 Lam (Assistant Director, Practitioners Affairs), Hon. Holden Chow (Legislative Council Member), Hon. Horace Cheung (Legislative Council Member) and Hon. Priscilla Leung (Legislative Council Member) 議員會面，就建議的《子女法律程序(父母責任)條 (左至右)：家事法委員會副主席洪宏道律師、主席何志權律師、成員周韻儀律師、林淑欣律師、Steven Leung律 例草案》交換意見。 師、執業者事務部副總監林嘉麗女士、立法會周浩鼎議員、張國鈞議員及梁美芬議員。

Swim for Charity: The Community Chest Wheelock Swim for Millions 2016 The Swimming Team participated in The Community Chest Wheelock Swim for Millions 2016 at Repulse Bay Beach on 30 October 2016. Our team, represented by Mr. Allen Che, Mr. Pierre Lui, Mr. Robert Sit and Swimming Captain Mr. TC Chan, managed to come 17th in spite of the fierce competition among the 61 participating corporate relay teams. Ms. May Tam, Ms. Helen Ho and Swimming Convenor Ms. Vicky Man also represented the Law Society in the Golden Kilometer Race of this event. Toughness and tenacity were demonstrated in this race as participants were required to swim for 500 m and run for around 100 m on the beach before they dived into the water again to In memorial of the late Mr. Kevin Ng, our “Teammate Forever”. complete the remaining 500 m swim. 懷念我們「永遠的隊員」吳振宇律師。

24 www.hk-lawyer.org February 2017 • LAW SOCIETY NEWS 律 師 會 新 聞

Swimming Convenor Ms. Agnes Chan and her 游泳為慈善 -公益 brother also won the champion in the Family 金會德豐百萬泳 Relay Race. 2016 Our team spirit in this race was extended in 游泳隊代表車偉恆律師、 memory of our late team member Mr. Kevin Ng, who represented the Law Society and his 雷明雋律師、薛正睿律師 firm King & Wood Mallesons to participate 和游泳隊隊長陳子遷律師 in the same event in previous years. Kevin 於2016年10月30日在淺水 unfortunately passed away on 9 August 2016 灣泳灘舉行的公益金會德 The Swimming Team took part in this meaningful event two years in a row. due to an unexpected medical condition 游泳隊已連續第二年參與這項饒有意義的活動。 豐百萬泳2016，面對61支 during a hike. The Community Chest Wheelock 機構接力賽參賽隊伍競爭激烈，最終仍取得第17名的不俗成績。 Swim for Millions 2015 was the last team event in which Kevin participated with our team. The 譚玉瑜律師、何婉儀律師及游泳隊召集人文穎翹律師亦代表律師會出戰黃金一公里 Swimming Team thus dedicated this event 泳賽。體能和耐力是這場比賽的關鍵，因為參賽者需要游泳500米，在海灘上跑約 to honour Kevin as our “Teammate Forever”. 100米，然後再次潛入水中完成剩餘的500米游泳。 Mrs. Claire Ng, Kevin’s mother kindly came to support our team at the event and brought us 游泳隊召集人陳曉菁律師與其弟弟亦勝出家庭接力賽。 the swimming cap no. 37C used by Kevin last 我們在這場比賽中延續我們的團隊，以懷念已故隊員吳振宇律師。吳律師以往曾代 year. 表律師會及金杜律師事務所參加這項活動。他於2016年8月9日在遠足期間不幸猝然 The Swimming Team has regular practices 離世。公益金會德豐百萬泳2015是吳律師最後一次以律師會隊員身份參加的活動。 every Wednesday from 9 to 10 pm. Interested 游泳隊因此希望透過是次活動懷念我們「永遠的隊員」Kevin。吳律師的母親吳鍾蘊 members may contact Mr. Robert Chan of the Law Society Secretariat for more information. 蘭女士亦有到場，並帶來吳律師去年戴過的編號37C泳帽，以表支持。 We welcome you to join us in our regular 游泳隊每逢星期三晚上9點到10點練習。有興趣的會員可聯絡律師會秘書處陳健衡先 practices! 生查詢。歡迎你加入我們！ Mr. Allen Che 車偉恒律師 Member, Swimming Team 游泳隊隊員

Member Benefit: The Law Society’s Annual Christmas Party 2016 The Annual Christmas Party, organised by the Member Benefit Committee, was successfully held on 15 December 2016. Nearly 200 members and guests celebrated the festive season together under the theme “Sparkling like the Fireworks!”. Chairlady of the Member Benefit Committee Bonita Chan (second from The Party featured a live music left), Vice President Amirali Nasir (third from left), President Thomas So Participants dancing in the music. (third from right), Vice President Melissa Pang (second from right) with 參加 者 隨 歌 起 舞。 performance by the VIP Band, winners of the Best Dressed Competition. comprising our Past President 會員權益委員會主席陳寶儀律師(左二)、副會長黎雅明律師(左三)、會長蘇紹 and Council Member Huen Wong, 聰律師(右三)、副會長彭韻僖律師(右二）與「最佳外表獎」得主合照。 Mr. Alan Ngan, Mr. Chris Tung and Mr. CT Yung, and the talented 會員權益：律師會聖誕派對2016 vocalists from the Law Society’s Live 由會員權益委員會主辦的年度聖誕派對於2016年12月15日圓滿舉行。派對以「閃亮如煙 band TLF. Some members dressed up 火」為主題，約200名會員和來賓一同慶祝佳節。 in their exquisite outfits to match with the theme and compete in the Best 派對上有貴賓樂隊即場表演音樂，他們包括前任主席和理事會委員王桂壎 Dressed Competition. All participants 律師、Alan Ngan先生、董彥華律師和容正達律師，以及律師會樂隊TLF才 had a wonderful evening under the 華洋溢的歌手。有些會員穿上了與主題搭配的精美服裝， 競逐「最佳外 festive and cozy atmosphere. 表獎」。所有參加者在充滿節日氣氛的環境下，渡過了一個美好的晚上。

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Showcase in Badminton The second half of 2016 has been exciting and fruitful for the Law Society Badminton Team. On 30 July 2016, our Team participated in the 2nd Challenge Cup organised by People.cn at Smithfield Road Sports Centre and competed in the Men’s Singles, Men’s Doubles and Mix Doubles. Having rigorously competed in 11 matches against teams from the Liaison Office of the Central People’s Government, COSCO and People.cn, our Team was proudly awarded the champion of the year. On 12 and 19 November 2016, our Team members participated in Men’s Doubles and Women’s Doubles in the Invitational Our team was crowned Champion in the Badminton Men’s Doubles of the CMA Sports Tournament organised by the Chinese Manufacturers’ Invitational Sports Tournament. 我們的隊伍在中華廠商聯合會舉辦的體育邀請賽中，奪得羽毛球男雙冠軍。 Association. Despite the fact that our female players narrowly lost to those from the Hong Kong Institute of Certified Public 羽毛球隊大顯實力 Accountants in the tiebreaker, our male players outperformed all their opponents to be placed first in the Tournament. 對律師會羽毛球隊來說，2016年下半年既興奮又大豐收。去年 7月30日，羽毛球隊參加了《人民網》在士美菲路體育館舉行的 Apart from competing in formal tournaments, our Team has 第二屆「挑戰杯」羽毛球團體對抗賽，角逐男單、男雙和混雙項 also actively engaged in friendly matches with other teams for fun and bonding. On 3 December 2016, we participated in the 目。經過與中聯辦、中遠香港和《人民網》的代表進行了11場激 8th Shenzhen-Hong Kong Lawyers Badminton Cup when the 烈比賽後，律師會羽毛球隊榮登年度冠軍寶座。 Shenzhen lawyers visited Hong Kong. With the home-court 去年11月12日和19日，羽毛球隊成員在由中華廠商聯合會舉辦 advantage, we managed to defeat our counterpart by 8:3 in 11 games. We must admit that we have learned from our opponents 的體育邀請賽參加了男雙和女雙項目。儘管我們的女隊員在決勝 and enhanced our badminton skills and performance as a whole. 局中僅敗給香港會計師公會的代表，我們的男隊員表現過人勇奪 冠軍殊榮。 Our Team is actively practising for the Recreation and Sports Club for Hong Kong Professional Bodies Badminton Tournament 除了参與正規比賽外，羽毛球隊亦積極與其他隊伍進行友誼賽， to be held later this year. 從而互相切磋球技，增進聯繫。於2016年12月3日，羽毛球隊參 Nicole Mak 加了第八屆「深港律師杯」羽毛球團體賽，深圳代表來港作賽。 Member, Law Society Badminton Team 在主場之利下，我們在11場比賽中以8:3的成績擊敗對手。我們 必須承認經過是次友誼賽，獲益良多，隊員的羽毛球技巧和整體 表現得已提升。

羽毛球隊正為香港專業團體康 體會將於今年稍後舉行的羽毛 球賽加緊訓練。

麥曉霖律師 羽毛球隊隊員

Group photo with our counterparts from Shenzhen at the 8th Shenzhen-Hong Kong Lawyers Badminton Cup. 第八 屆「深 港 律 師 杯」羽 毛 球 團 體 賽 賽 後 與 深 圳 代 表 合 照。

Champion at the 2nd Challenge Cup organised by People.cn. 勝 出 由《 人 民 網 》舉 辦 的 第 二 屆「挑 戰 杯」羽 毛 球 團 體 對 抗 賽。

26 www.hk-lawyer.org Photos from Hong Kong Anti-Corruption Forum 2016

SAVE THE DATE FOR THIS NOT-TO-BE MISSED ANTI-CORRUPTION FORUM

Asian Legal Business is proud to present the BENEFITS OF ATTENDING: Hong Kong Anti-Corruption Forum on 23 March • Keynote address by Judge from the High Court 2017. This annual forum gathers legal experts, in- of Hong Kong house compliance professionals and government • Key insight into the latest anti-corruption and leaders together to discuss pertinent issues, anti-bribery issues from Hong Kong and the corruption investigations and enforcement trends Greater China region across Hong Kong and the Greater China. • Network with senior in-house counsels, lawyers and business leaders who are on top of their Hear about recent anti-graft initiatives, explore game GUEST OF HONOUR: various measures and practical solutions to • In-depth workshops focusing on the latest The Honourable Mr Justice mitigate corruption risks and delve deep into key legal issues presented by top domestic and Kevin Zervos, SC concerns which legal/compliance professionals international law firms VIP networking luncheon Judge need to address to successfully safeguard and refreshments High Court of Hong Kong corporate reputations and businesses. • Speaker notes and materials provided

AGENDA AT A GLANCE: • Latest Developments in Hong Kong Anti- To register for this event, go to: Corruption Legislations and Enforcement www.regonline.com/hkanticorruption2017 Trends • Improving Third Party Risks Mitigation and For more information about this event, go to: Compliance through Enhancing Due Diligence www.legalbusinessonline.com/conferences/ for Anti-Bribery and Anti-Corruption hk-anticorruption-2017 • Achieving Internal Compliance through KEYNOTE SPEAKER: Effective Anti-Bribery & Corruption Programmes CONTACT FOR SPEAKING OPPORTUNITIES: William Tam, SC • Cross-Border M&A Transactions - Anti- Willy Leonardi Deputy Director of Public Prosecutions, Head of the Corruption Measures and Pitfalls to Avoid +65 6870 3102 Commercial Crime Sub- • Enhancing Data Security and Privacy Against [email protected] Division, Prosecutions Division Cross-Border Corruption and Bribery Risks Department of Justice • Combating Against Corruption and Bribery CONTACT FOR SPONSORSHIP OPPORTUNITIES: Crimes in Hong Kong and the Greater China Amantha Chia • Preventing Internal Fraud through Know-Your- +65 6870 3917 Customer (KYC) and AML Compliance [email protected]

WORKSHOP SPONSOR ASSOCIATE SPONSOR SUPPORTING ORGANISATION SUPPPORTING MEDIA PARTNER PROUDLY PRESENTED BY • February 2017 Dual-Listed Companies: Reporting Requirement of Quarterly Results during the Offer Period

By Ronald Leung, Associate, General M&A and Transaction Group BNP Paribas Hong Kong Branch

28 www.hk-lawyer.org February 2017 • REGULATORY 監 管

n recent years, numerous dual-listed Hong or the termination of offer. Kong companies have decided to delist from I During the offer period, companies and their secondary listing markets. The main professional parties must be aware of certain reasons for their decision to delist are (1) to disclosure restrictions under the HK Takeover enhance liquidity by consolidating the trading Code. One of the key restrictions is the of shares (ie, by broadening the shareholder reporting of quarterly results, especially when base and making their listed company a more the results fall within the offer period. Under r. attractive investment target); (2) to better 10.9, except with the consent of the Executive geographically align their business operations Director of the Corporate Finance Division of in China; and (3) to achieve cost savings in the SFC or his/her delegates (“SFC Executive”), compliance and management resources (ie, as any unaudited profit figures published during they only need to comply with the listing rules an offer period must be reported on (the and laws of the sole listing market). “Reported on Requirement”). Since 2013, Sound Global Ltd. (“Sound Global”), China XLX Fertiliser Ltd. (“China Key Points to Note When Acting XLX”) and China New Town Development for a Financial Adviser Company Limited (“CNTD”), dual-listed In satisfying the Reported on Requirement, companies in Hong Kong and Singapore, r. 10.1 of the HK Takeover Code requires profit all submitted proposals to voluntarily delist forecasts to be compiled with due care and from the Singapore Exchange Securities consideration by a company’s directors, Trading Limited (“SGX-ST”), among others. who are solely responsible for compiling it; All proposals were subsequently approved financial advisers must satisfy themselves that by disinterested shareholders and relevant a company’s directors prepared the forecast regulators. Each company appears to in this manner. Therefore, if financial advisers have been motivated to delist to enhance are required to comply with the Reported on their liquidity and reduce their compliance Requirement, they must conduct adequate due costs, as each had relatively low portions of diligence work with due care as required by shareholding in the SGX-ST as compared to r. 5 of the Corporate Finance Adviser Code of the Stock Exchange of Hong Kong Limited Conduct issued by SFC in October 2013 (“Code (“SEHK”) before delisting from SGX-ST. of Conduct”). In general, any breaches of the In structuring delisting deals, professional Code of Conduct will prima facie cast doubts parties must pay attention to relevant on the fitness and properness of the financial regulatory disclosure requirements, especially advisers concerned. the release of quarterly results announcements during the offer period. The Code on Takeovers Exemption to the Reported on and Mergers issued by Securities and Futures Requirement in Hong Kong Commission (“SFC”) in March 2014 (“HK The HK Takeover Code provides some Takeover Code”), the practice note issued by exemptions to the Reported on Requirement. the SFC and some recent case studies provide Under r. 10.9, unaudited statements of annual good guidance on whether the reported or interim results which have already been on requirement is applicable to dual-listed published are exempted from the Reported on companies in Hong Kong. Requirement. The SFC also issued a practice note in relation to profit forecasts under r. 10 of Reporting Requirements in Hong the HK Takeover Code on 30 September 2013 Kong (“Practice Note 2”), which was further amended Financial advisers, companies and their on 31 March 2015, stating companies with dual counsel must work closely together to listings of their shares may publish unaudited ensure companies comply with all regulatory quarterly results pursuant to a requirement requirements when structuring delisting deals under the relevant laws or regulations of the from secondary listing markets. According to overseas jurisdiction during an offer period. the HK Takeover Code, the offer period covers Prior to the release of Practice Note 2, markets from the release of proposed or possible offer were uncertain of whether unaudited quarterly announcement to the closure for acceptances results by mainboard listed companies in

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Hong Kong were considered as a profit the document containing the forecast, to Rules, in this case, the SFC does not forecast under the HK Takeover Code. examine the forecast and report whether, appear to have applied the Reported on This uncertainty arose because the HK in his view, the forecast has been made Requirement exemptions automatically. Takeover Code is silent as to whether the after due and careful enquiry. In r. 10.9 of the HK Takeover Codes and exemption applies to quarterly results Practice Note 2, there are four scenarios In Singapore as well as in Hong Kong, reporting by mainboard listed companies in which the Reported on Requirement listed companies are required to comply (ie, it only explicitly covers quarterly exemption may apply. The only scenario with the reporting requirements in each results reporting by Growth Enterprise that does not require prior consultation relevant listing market. Market companies). from the SFC Executive is the one Sound Global Case that relates to a company publishing In Practice Note 2, the SFC Executive unaudited statements of annual or stated that dual-listed companies Sound Global announced its proposed interim results. that are required to publish unaudited voluntary delisting from SGX-ST (“Sound quarterly results by the relevant laws or Global Delisting”) prior to the release of Thus, even though Practice Note 2 regulations of the overseas jurisdiction Practice Note 2. On 28 June 2013, the acknowledges that a Reported on should be exempt from the Reported offer period of Sound Global Delisting Requirement exemption may apply when on Requirement (ie, by virtue of r. 10.9). commenced immediately upon the said unaudited quarterly results are published However, Practice Note 2 also states that announcement. On 14 November 2013, pursuant to the regulations of an if a company with a dual listing wishes which was still within the offer period of overseas jurisdiction, prior consultation to take advantage of any of the Reported Sound Global Delisting, Sound Global with the SFC Executive seems necessary. on Requirement exemptions, it must announced its 2013 third quarter results That is, it does not seem as if quarterly consult the SFC Executive at the earliest as required by the SG Listing Rules. results will automatically be deemed opportunity. In the Sound Global case, it is noted that to be interim results. As such, if no prior consultation is sought or consent Sound Global and China XLX announced the unaudited quarterly results were obtained, there is a real risk that their proposed voluntary delisting with published during the offer period and no the exemption to the Reported on general offer before and after the release Reported on Requirement was required Requirement will not be applied. of Practice Note 2, respectively; however, by its auditors or financial advisers only Sound Global was exempted from in Hong Kong. While not explicit, the CNTD Case the Reported on Requirement. A further SFC seems to have applied the r. 10.9 On 18 October 2016, CNTD announced interpretation of this practice note was exemption and deemed the unaudited its proposed voluntary delisting promulgated with the recently proposed quarterly results to be interim results. from SGX-ST (“CNTD Delisting”). On delisting case of CNTD in October 2016. China XLX Case 14 November 2016, which was still within Reporting Requirements in Five months after the first announcement the offer period of CNTD Delisting, CNTD Singapore of the Sound Global Delisting, China announced its 2016 third quarter results XLX also announced its proposed as required by the SG Listing Rules. To provide some context, in Singapore, voluntary delisting from SGX-ST (“China listed companies are required to publish In this case, CNTD was exempted XLX Delisting”). However, it was not their financial results on a quarterly from complying with the Reported on exempted from complying with the basis within 45 days from the end of the Requirement in relation to its quarterly Reported on Requirement in relation to relevant period under the SG Listing results announcement. It is reasoned that its quarterly results announcement. Rules. by virtue of CNTD’s prior consultation China XLX announced its China XLX with the SFC, it was able to dispatch Since unaudited quarterly reports contain Delisting after the release of Practice the CNTD Delisting circular within two unaudited profit figures and must be Note 2. The China XLX Delisting period months from its first announcement in published during an offer period, it must commenced on 11 December 2013, October 2016. This facilitated the timely be reported on by the auditor or reporting immediately upon its release of this approval of the CNTD Delisting by the accountant and financial adviser as announcement. On 30 May 2014, disinterested shareholders and relevant required under r. 25.6(c) of the Singapore which was still within the offer period regulators on 17 January 2017. Code on Take-Overs and Mergers (“SG of the China XLX Delisting, China XLX Takeovers Code”). Rule 25.3 of SG announced its 2014 first quarter results, Key Points to Note When Takeovers Code requires (1) the auditor as required by the SG Listing Rules. Structuring a Delisting Deal or reporting accountant to examine and Legal practitioners to companies and report on the accounting policies and Even though the unaudited quarterly financial advisers should note that their calculations for the forecast; and (2) the results were published during the clients are required to comply with financial adviser, if he is mentioned in offer period as required by SG Listing

30 www.hk-lawyer.org February 2017 • REGULATORY 監 管

兩地上市企業： 要約期的季度業績 報告要求 REUTERS/Edgar Su all applicable rules and regulations 作者 梁衞晉 收購合併及資本市場交易組經理 法國巴黎銀行香港分行 in each relevant listing market. If a dual-listed company in Hong Kong is required to publish quarterly results by 年有不少香港的上市公司決定取 「新交所」)的上市地位，而所有此等建 regulators in overseas markets, legal practitioners should make their clients 近消其在第二上市市場的上市地 議，其後都獲不涉利益的股東及相關監 aware of the quarterly results disclosure 位，而其決定退市的原因主要是：(1)通 管機構批准通過。這些企業似乎都有意 requirements under the HK Takeover 過將股份合併來提高流動性(即是藉著擴 藉取消上市地位來提高其流動性和降低 Codes and consult with the SFC prior to 闊股東基礎，從而使其上市公司成為更 合規成本，原因是，在取消其於新交所 issuance of quarterly results, to ensure 具吸引力的投資目標)；(2)更有效地從地 的上市地位之前，這些企業在新交所的 a Reported on Requirement exemption 理上整合其在中國經營的業務；及(3)在 持股量，相對而言都低於它們在香港聯 applies. 合規及資源管理方面實現成本節約(即是 合交易所有限公司(簡稱「聯交所」)的持 Failure to consult the SFC in advance 說，它們只需遵守單一上市市場的上市 股量。 may result in financial advisers 規則和法規)。 incurring additional costs to conduct 在構建有關的取消上市地位交易時，專 due diligence work as required under 自2013年至今，已有：桑德國際有限 業人員必須注意相關的監管披露規定， the Reported on Requirement. 公司(Sound Global Ltd)(下稱「桑德國 尤其是在要約期內發出季度業績公告。 Legal practitioners may accelerate 際」)、中國心連心化肥有限公司(China 證券及期貨事務監察委員會(下稱「證監 the completion of delisting deals by promptly consulting with the SFC to XLX Fertiliser Ltd)(下稱「中國心連心」) 會」)在2014年3月所發出的《收購及合 ensure the Reported on Requirement 、中國新城鎮發展有限公司(China New 併守則》(下稱《香港收購守則》)、證監 exemption applies. This may also, Town Development Company Limited) 會所發出的《應用指引》，以及在近期 in turn, reduce the risk of financial (下稱「中國新城鎮」)等三家在香港及 所進行的若干個案研究，皆為該等報告 advisers’ non-compliance with the Code 新加坡兩地上市的企業提出建議，自願 規定是否適用於香港的兩地上市公司， of Conduct. n 取消在新加坡證券交易所有限公司(簡稱 提供了十分有用的指引。

www.hk-lawyer.org 31 • February 2017

香港的報告規定 31日作出了進一步的修訂，述明該等其 會計師須對該預測的會計政策及計算方 財務顧問、企業、及其法律顧問之間， 股份在兩地上市的企業，可在要約期內 法進行審查和作出報告；及(2)財務顧問 必須維持緊密合作，以確保在構建取消 根據有關的海外司法管轄區的相關法律 (在載有該預測的文件中倘若曾對他有所 於第二上市市場之上市地位的交易中， 或規例，公佈未經審核的季度業績。 提及)須審查該預測，並表明根據他的看 法，該預測是否於經過審慎和周詳的查 該企業能遵守所有監管規定。根據《香 在《應用指引2》發出以前，市場並未 詢後作出。 港收購守則》，要約期的期限，是由建 能確定在香港主板上市的企業的未經審 議要約或可能要約的公佈時間起計，直 核季度業績，是否會根據《香港收購守 無論是在新加坡還是在香港，上市公司 至要約截止不再可供接納，或要約終止 則》而被視為盈利預測。造成此等不確 均須遵守每一相關上市市場的報告規 的日期為止。 定性的原因是，《香港收購守則》並沒 定。 有提及該等豁免是否適用於主板上市公 在要約期內，企業及專業人員必須留意 「桑德國際」一案 《香港收購守則》中所載的若干披露限 司的季度業績報告(亦即是說，它只是 在《應用指引2》發出之前，「桑德國 制，而其中一項主要限制，是作出季度 明確涵蓋創業版上市公司的季度業績報 際」公佈了其自願取消在新交所之上市 業績報告，尤其是當該等業績是在要約 告)。 地位的建議(下稱「桑德國際取消上市地 期內錄得時。第10.9條規則規定，除非 在《應用指引2》中，「證監會執行人 位」)。2013年6月28日，當上述公告發 獲得證監會企業融資部執行董事或其代 員」表示，須根據海外司法管轄區的相 出後，「桑德國際取消上市地位」的要 表(下稱「證監會執行人員」)的同意，否 關法律或規例來公佈其未經審核​​的季度 約期即時開始。2013年11月14日(當時 則凡在要約期內公佈任何未經審核的盈 業績的兩地上市公司，應獲豁免遵守「 仍然處於「桑德國際取消上市地位」的 利數字，均必須作出報告(下稱「報告規 報告規定」(即是根據第10.9條規則之規 要約期內)，「桑德國際」根據《新交所 定」)。 定)。然而，《應用指引2》亦指出，一 上市規則》的規定，公佈其2013年第三 家在兩地上市的公司假如希望獲得豁免 季度業績。 為財務顧問行事時須關注的要點 遵守「報告規定」，該公司必須儘早諮 為符合「報告規定」，《香港收購守 詢「證監會執行人員」的意見。 在「桑德國際」一案中，我們注意到， 則》第10.1條訂明，盈利預測必須單純 未經審核的季度業績是在要約期內公 「桑德國際」及「中國心連心」兩家公 由董事負責，並由董事審慎且適當地加 佈，而其香港核數師或財務顧問並沒有 司分別在《應用指引2》發出之前和之 以考慮後負責編製；而財務顧問必須信 要求該公司遵守「報告規定」。雖然 後，公佈其以全面要約方式自願取消上 納有關董事是以此等態度來擬備該等盈 證監會並沒有明言，但它似乎是引用第 市地位的建議；然而，最後只有「桑德 利預測報告。因此，倘若財務顧問需要 10.9條所述的豁免，並將該等未經審核 國際」獲豁免遵守「報告規定」。隨著 遵守「報告規定」，他們便必須根據證 的季度業績視為中期業績。 「中國新城鎮」在2016年10月提出取消 監會於2013年10月發出的《企業融資 上市地位的建議後，證監會對該項應用 「中國心連心」一案 顧問操守準則》(下稱《操守準則》)第5 指引作出了進一步的闡釋。 在「桑德國際取消上市地位」的公告首 條，進行充分的盡職審查工作。在一般 次作出的五個月後，「中國心連心」也 情況下，財務顧問如果違反任何《操守 新加坡的報告規定 公佈了其自願取消在新交所之上市地位 準則》，其擔任有關工作的適當和適切 新加坡的上市公司須根據《新加坡上市 的建議(下稱「中國心連心取消上市地 性，勢將在表面上受到質疑。 規則》，在有關期間完結後的45天內， 位」)。然而，在公佈季度業績方面，該 香港在報告規定方面的豁免 公佈其季度財務業績。 公司並未獲得豁免遵守「報告規定」。 《香港收購守則》對「報告規定」作出 由於未經審核的季度報告包含未經審核 「中國心連心」是在《應用指引2》發 了若干豁免。第10.9條規則規定，已公 的盈利數字，且必須在要約期內作出公 出之後，才就其「中國心連心取消上 佈的未經審核周年或中期業績報表，可 佈，因此核數師或申報會計師及財務顧 市地位」的建議發出公告。當有關公 免除遵守「報告規定」。此外，證監會 問必須根據《新加坡收購及合併守則》 告於2013年12月11日發出後，「中國 亦於2013年3月30日根據《香港收購守 (Singapore Code on Take-Overs and 心連心取消上市地位」的要約期即時開 則》第10條的規定，發出了一項與盈利 Mergers)(下稱《新加坡收購守則》)第 始。2014年5月30日(當時仍然處於「中 預測有關的應用指引(下稱《應用指引2 25.6(c)條作出報告。《新加坡收購守 國心連心取消上市地位」的要約期內)， 》)，而該應用指引其後亦於2015年3月 則》第25.3條規定：(1)核數師或申報 「中國心連心」根據《新交所上市規

32 www.hk-lawyer.org February 2017 • REGULATORY 監 管

則》，公佈其2014年第一季度業績。 「中國新城鎮」一案 在構建取消上市地位交易時須關 在這一個案中，儘管未經審核的季度業 2016年10月18日，「中國新城鎮」 注的要點 績是根據《新交所上市規則》之規定在 公佈其自願取消在新交所之上市地位 為企業提供服務的法律執業者及財務顧問 要約期內公佈，但證監會似乎並沒有自 的建議(下稱「中國新城鎮取消上市地 務須注意，其當事人必須在每一相關的上 動引用該項關於「報告規定」的豁免。 位」)。2016年11月14日(當時仍然處 市市場，遵守所有的適用規則和規例。如 在《香港收購守則》第10.9條及《應用 於「中國新城鎮取消上市地位」的要 果一家香港的兩地上市公司需要遵守海外 指引2》中，有四種情況是可以適用於 約期內)，「中國新城鎮」根據《新交 市場監管機構的季度業績公佈規定，法律 「報告規定」的豁免的，而唯一不需要 所上市規則》，公佈其2016年第三季 執業者便應當促使其當事人了解在《香港 事先諮詢「證監會執行人員」意見的情 度業績。 收購守則》下的季度業績披露規定，並在 況，是關於公司公佈未經審核的周年或 在這一個案中，「中國新城鎮」獲豁 其公佈季度業績之前諮詢證監會的意見， 中期業績報表的情況。 免遵守與其公佈季度業績有關的「報 以確保其能夠獲得豁免遵守「報告規定」 。 因此，即使《應用指引2》承認，未經 告規定」。根據推斷，由於「中國新 審核的季度業績如果是根據海外司法管 城鎮」事先諮詢了證監會的意見， 倘若沒有事先諮詢證監會的意見，財務顧 轄區的法例作出公佈，它將可獲豁免遵 因此該公司可以在其於2016年10月 問便有可能需要承擔根據「報告規定」而 守「報告規定」，但看來仍須事先諮詢 首次作出公告後的兩個月內，發出有 須進行的盡職審查工作之額外費用。法律 「證監會執行人員」的意見；也就是 關「中國新城鎮取消上市地位」的通 執業者應當及時諮詢證監會的意見，以確 說，季度業績看來是不會被自動視為中 告。這促使不涉利益的股東及相關監 保其當事人能夠獲得豁免遵守「報告規 期業績。因此，企業如果沒有事先諮詢 管機構得以於2017年1月17日就「中 定」，從而加快完成該等取消上市地位的 相關意見或獲得相關同意，便有可能會 國新城鎮取消上市地位」一事作出適 交易，而此舉亦能有助將財務顧問在未能 面對不獲豁免遵守「報告規定」的實際 時的同意。 遵守《操守準則》方面的風險降低。 n 風險。

REUTERS/Bobby Yip

www.hk-lawyer.org 33 • February 2017 Comity and Free-Standing Mareva Injunction

By Clemence Yeung, Barrister Fortune Chambers

34 www.hk-lawyer.org February 2017 • DISPUTE RESOLUTION 解決糾紛

or the first time the jurisdiction of the Hong Kong Court for a Mareva injunction proceedings in Hong Kong they would FHong Kong Court, pursuant to s. 21M in aid of the English proceedings. obtain an anti-suit injunction. The simple of the High Court Ordinance (Cap. 4) to reason was that the dispute between grant free-standing Mareva relief in aid The Court of Appeal Decision Compania and the defendant had no of foreign proceedings, was considered Section 25 of the Civil Jurisdiction and connection with Hong Kong whatsoever, by Court of Final Appeal (“CFA”) in Judgments Act 1982 is the English and Lord Goff’s seminal judgment in Compania Sud Americana De Vapores equivalent of s. 21M. The requirement Airbus Industrie GIE v Patel [1999] 1 AC S.A. v Hin-Pro International Logistics Ltd that an applicant for interim relief (such 119 meant that in such a case the Court (FACV 1/2016, 14 November 2016). as a Mareva injunction) under s. 25 would decline to make an anti-suit injunction. Section 21M came into force in April must establish that the relief would be 2009 following the introduction of the granted if the substantive proceedings There was a conflict as to jurisdiction. The Civil Justice Reform, and empowers the were brought in England, was the most mainland Courts had taken jurisdiction Hong Kong Courts to grant interim relief authoritatively stated in Refco Inc v and, it appears, disagreed with the notwithstanding the substantive litigation Eastern Trading Co [1999] 1 Lloyd’s Rep English Court on the effectiveness of taking place in a foreign Court. The relief 159, where Morritt LJ observes that: the exclusive jurisdiction clause. The granted is therefore free-standing, and “it was implicit in all the judgments that appeal against the decision of the not ancillary to any substantive cause the approach of the Court in this country English Commercial Court upholding of action being pursued in a Hong Kong to an application for interim relief under the exclusive jurisdiction clause was court. s. 25 is to consider first if the facts pending. “The conflict as to jurisdiction would warrant the relief sought if the is … between the outcome of the PRC The Facts substantive proceedings were brought courts’ application of the PRC law on the The essential facts of Compania may in England.” ([2015] 2 HKLRD 458, effect of the jurisdiction clause in the bills be summarised as follows. Compania para. 31) of lading and the outcome of the English courts’ application of English law on the is a Chilean shipper who entered into When Compania reached the Hong Kong same” ([2015] 2 HKLRD 458, para. 63). contracts of carriage with the defendant, Court of Appeal, the English High Court In any event, “different jurisdictions a Hong Kong freight forwarder. The had tried the English action and found could legitimately have different rules cargoes in question were shipped from for Compania. The Hong Kong Court of on enforceability of exclusive jurisdiction Nangjing in China to Venezuela. The Appeal, following Refco, considered if clauses … the approach to construction bills of lading contain an oddly drafted Compania had a good arguable case of a clause may differ according to the jurisdiction clause which appears to against the defendant (ie, the existence laws of different countries … there are designate the English High Court as of a good arguable case is of course one legitimate differences in terms of the the exclusive forum for determining of the criteria for the grant of a Mareva extent to which the law may recognise an disputes arising under them. The clause injunction). In doing so, it ignored both exclusive jurisdiction clause” (id., para. (the “exclusive jurisdiction clause”) was the fact that Compania had obtained a 60). Comity required the Hong Kong upheld by the English Commercial Court Mareva-type relief in the English Court Court not to intervene in the conflict by and, by the time the Hong Kong litigation and that the English Court had upheld giving assistance to the enforcement of reached the CFA, the English Court of the exclusive jurisdiction clause at the exclusive jurisdiction clause. Appeal. Meanwhile, notwithstanding the trial. Relying on Morritt LJ’s above the exclusive jurisdiction clause, the observation in Refco and Motorola Credit The CFA Decision defendant brought actions in different Corporation v Uzan (No. 2) [2004] 1 WLR The CFA overturned the decision of mainland courts against Compania 113, another leading case, the Hong the Court of Appeal. Lord Phillips (with for delivery of the cargoes without Kong Court of Appeal held that a court whom the rest of the Court agreed) production of the bills of lading. The hearing on a s. 21M application had to identified two main errors in the mainland courts accepted jurisdiction “examine the strength and arguability of reasoning of the Court of Appeal. First, and in some of the actions, damages an applicant’s claim in the context of Hong it misinterpreted the dicta of Morritt were awarded against Compania. Kong law rather than simply accepting LJ in Refco, which does not justify the a decision of the foreign court” ([2015] 2 Compania applied for and obtained an view taken by the Court of Appeal that HKLRD 458, para. 32). anti-suit injunction as well as a freezing in determining a s. 21M application, the injunction against the defendant in the The result was a decision against Court had to consider the strength of English action, brought against the Compania on the grounds of comity. The the substantive claims under the law of defendant for breach of the exclusive Court of Appeal was not satisfied that Hong Kong. Nor is Motorola authority for jurisdiction clause. It then applied to the if Compania brought the substantive such an approach. Part of the relevant

www.hk-lawyer.org 35 • February 2017

passage in Motorola, which Lord Phillips intervention in a conflict as to jurisdiction conceivable that an applicant may have observes must be “treated with caution”, between the English and the PRC brought claims in a civil law jurisdiction reads as follows:- Courts. This, Lord Phillips held, was (whose judgments Hong Kong Courts will misconceived. “The Hong Kong Court has enforce) which are not justiciable under “the English court is required, once issue not been asked to assist the English Court the common law. It will be absurd in is joined in the section 25 proceedings, to enforce an exclusive jurisdiction clause. such a case to require a court hearing the to make a separate exercise of judgment It has been asked to assist in enforcing an s. 21M application to determine whether rather than a simple acceptance of award of damages by the English Court for the applicant has a good arguable case the decision of the foreign court in breach of such a clause.” (FACV 1/2016, under Hong Kong law. interlocutory proceedings decided on the para. 59). The assistance sought and to principles applicable, the evidence then Should the Mareva injunction have be given concerns rather the enforcement available, and the levels of proof required been refused under s. 21M(4)? The of an English judgment for breach of in that jurisdiction” ([2004] 1 WLR 113, English Court was entitled to uphold the a contractual clause. This involves no para. 102). exclusive jurisdiction clause and award intervention in a conflict as to jurisdiction damages for its breach. (The Court of This, Lord Phillips held, is incorrect. The between the English and the PRC Courts. Appeal accepted this.) For the CFA, this question that “the Hong Kong Court has It has not been suggested that in was enough to dispose of the appeal in to consider is whether the plaintiff has a upholding the exclusive jurisdiction favour of Compania in terms of s. 21M(4). good arguable case in the foreign court” clause and awarding damages for its Nothing in the English proceedings (FACV 1/2016, para. 52). breach, the English court is in breach would make it unjust or inconvenient Since the foreign law governs the of comity. The Angelic Grace [1995] 1 to grant the Mareva injunction. The question of whether a good arguable Lloyd’s Rep 87 is high authority for the Court of Appeal, in contrast, considered case exists, Airbus Industrie GIE was not proposition that an English Court which that the fact that the English Courts relevant to the question of whether a grants an anti-suit injunction to uphold had proper jurisdiction to enforce the good arguable case existed. a contractual bargain embodied in an exclusive jurisdiction clause was far from being conclusive. The matter had to be The second error concerns the exercise of English exclusive jurisdiction clause considered from the point of view of the discretion. Section 21M(4) provides that commits no breach of comity. Hong Kong Courts, constrained by the an application for interim relief may be Comity, on this view, is not in issue. requirements of comity and faced with refused if the fact that the substantive circumstances giving rise to a conflict claim is being litigated in a foreign court Different Approaches as to jurisdiction between the English renders it “unjust” or “inconvenient” for Lord Phillips’ starting point was the and PRC Courts (the existence of which the relief to be granted. The terms of statutory purpose of s. 21M, which is the CFA does not appear to question). s. 21M(4) are similar to those of s. 25(2) to facilitate the process of execution or The fact that the English proceedings of the 1982 Act, although the relevant enforcement of foreign judgments which involved no breach of comity would have words used in the latter are not “unjust are enforceable in Hong Kong. As such, neither answered the comity concerns or inconvenient” but “inappropriate whether the substantive claims would which it had explained in its judgment and inexpedient”. But the distinction is have succeeded under the law of Hong nor dictated acceptance that no comity immaterial for present purposes. Conflict Kong is unimportant. The key question is issue arose in Compania. as to jurisdiction is recognised in the whether, if the foreign action results in a English law as capable of rendering it What divided the CFA and the Court judgment, it is one which the Hong Kong of Appeal seems to be the latter’s inappropriate and inexpedient for the court will enforce. It follows that where court to exercise the jurisdiction to grant preparedness to take into account the the foreign courts have considered the broader circumstances underlying the free-standing interim relief (see Motorola, strength of the substantive claims, their para. 115). Compania’s application. The main relief views should carry weight with the Hong sought in the primary proceedings in It is clear that the Court of Appeal Kong court; but it is irrelevant whether England was an anti-suit injunction. would have refused to grant a Mareva under Hong Kong law the substantive The amount to be made the subject of injunction, even if Compania had been claims would be considered meritorious. the Mareva injunction were damages able to establish that a good arguable The question is whether the plaintiff has reflective of the sums that had been case existed against the defendant, a good arguable case before the foreign and might further be awarded in the on the grounds that it would be unjust court. The reasoning of the CFA here is, it mainland actions. Different jurisdictions’ or inconvenient to do so. The Court is respectfully submitted, cogent. approaches to exclusive jurisdiction of Appeal took the view that granting There may be a further justification clauses differ. In any event, the mainland a Mareva injunction would be an for the view taken by the CFA. It is courts had taken jurisdiction. In these

36 www.hk-lawyer.org February 2017 • DISPUTE RESOLUTION 解決糾紛

司法禮讓與非附 屬資產凍結令 circumstances, finding in favour of 作者 楊業明 大律師 Fortune Chambers Compania and granting it the Mareva injunction sought would not have been, it is respectfully submitted, easily 了向在外地進行的法律程序提供 貨物的提單載有一項意思含糊的司法管 distinguishable from giving effect to 為協助，香港法院可根據《高等法 轄權條款，內容似是指定以英國高等法 the exclusive jurisdiction clause. For 院條例》第21M條批予非附屬的資產凍 院作為有關爭議的專屬訴訟地。英國商事 this commentator, the approach of the 結濟助。香港終審法院在Compania Sud 法庭，以及英國上訴法院(當在香港進行 Court of Appeal is more convincing. Americana De Vapores S.A. v Hin-Pro 的訴訟達至終審法院階段之時)皆維持該 It may be added that the defendant International Logistics Ltd (FACV 1/2016, 條款(下稱「專有司法管轄權條款」)的效 in Compania clearly has not helped 14 November 2016) 一案中，首度對有關 力。儘管受限於該項「專有司法管轄權條 itself. Both the CFA and the English 的司法管轄權作出審視。 款」，被告人此時以Compania在沒有出 Commercial Court were critical of 示提單的情況下託運貨物為由，向中國各 the good faith, or the lack thereof, 隨著民事司法制度改革的實施，《高等法院 個不同法院提起針對Compania的訴訟。 of the defendant’s legal actions in 條例》第21M條於2009年4月起生效，當 中國法院承認其對該案擁有司法管轄權， mainland China. Cooke J in the English 中賦權香港法院對實體性的訴訟批予臨時 Commercial Court found that there 並在若干相關訴訟中，裁定Compania須 濟助(即使有關訴訟是在外地法院進行)。因 were good grounds for believing that 給予被告人損害賠償。 the proceedings in the mainland had 此，該等濟助是獨立地由法院批予，並不附 been brought fraudulently. By the time 屬於任何向法院提出的實質訴訟因由。 Compania以被告人違反該「專有司法管 the CFA gave judgment, most of the 轄權條款」而在英國提起訴訟。它向法院 mainland judgments against Compania 案情 提出申請，並獲頒發針對被告人的「禁 had been reversed on appeal. Whatever 茲概述Compania一案的主要案情如 制境外訴訟令」(anti-suit injunction)和資 view one takes of the different 下。Compania是一個位於智利的貨物託運 產凍結禁令。其後，它向香港法院提出 approaches of the CFA and the Court 人，它與香港的一名貨運代理人(即本案 申請，要求頒發針對被告人的資產凍結令 of Appeal in Compania, one is unlikely to wish that the defendant had done 的被告人)訂立貨運合同。其所需運送的貨 (Mareva injunction)，以便能為該等在英 better before the Hong Kong Courts. n 物，是從中國的南京運往委內瑞拉。該批 國進行的法律程序提供協助。

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上訴法庭的裁決 法律程序，他們將會獲法庭頒發「禁制 「當有關爭議一旦進入了第25條的法 英國的《1982年民事司法管轄權與判決 境外訴訟令」，原因是Compania和被告 律程序，英國法院便必須獨立地作出判 法》(Civil Jurisdiction and Judgments Act 人之間的爭議，與香港並無任何關係，而 斷，而並非單純地接納：外地法院在 1982)第25條，與香港的《高等法院條 Lord Goff於Airbus Industrie GIE v Patel 非正審法律程序中根據適用原則所作 例》第21M條類似。申請人如根據該第 [1999] 1 AC 119一案所作出的先導性判 出的裁決；當時可以取得的證據；以 25條向法院申請臨時濟助(例如是資產凍 決，意味著在該等情況中，法庭將會拒絕 及，該司法管轄區所要求的舉證程度」 結令)，便必須證明有關的實體性法律程 頒發「禁制境外訴訟令」。 ([2004] 1 WLR 113, para. 102)。

序倘若是在英國提起，它將會獲得法院批 該案存在司法管轄權方面的衝突。中國法 對於上述的看法，Lord Phillips不表贊 予濟助。這項規定在Refco Inc v Eastern 院已行使其司法管轄權，而且看來對該「 同。他認為「香港法院所須考慮的問題 Trading Co [1999] 1 Lloyd’s Rep 159 專有司法管轄權條款」的有效性，持有與 是：原告人在外地法院是否具有充分的可 一案中，獲得權威性地確立，而Morritt 英國法院不同的看法。該項就英國商事法 爭辯理據」 (FACV 1/2016, para. 52)。 LJ在該案中亦指出： 庭維持「專有司法管轄權條款」之有效性 由於原告人是否持有充分的可爭辯理 「所有該等判決都暗示，任何人如根 的裁決而提出的上訴，目前仍然待決。「 據，需要由外地法院來確定，因此Airbus 據第25條申請臨時濟助，本國法院 中國法院根據中國法律，就案中提單所載 Industrie GIE一案與是否持有充分的可爭 的取態是，必須首先考慮該等實體性 的司法管轄權條款之有效性所作的裁決， 辯理據這一議題並不相關。 法律程序假如是在英國提起，那麼根 與英國法院根據英國法律，就同一案件所 上訴法庭所犯的第二個錯誤，是關於酌情 據案情，是否有足夠理由讓法院批予 作的裁決，形成雙方在司法管轄權方面 決定權的行使。第21M(4)條規定，正在 所尋求的濟助。」([2015] 2 HKLRD 的衝突」([2015] 2 HKLRD 458, para. 外地法院進行訴訟的該等實質申索，倘若 458, para. 31) 63)。在任何情況下，「不同的司法管轄 會導致法庭在批予臨時濟助方面顯得「不 權，可以就「專有司法管轄權條款」的可 當Compania一案在香港上訴法庭進行審 公正」或「不便」，則法庭可拒絕批准有 強制執行性，合法地制訂不同的規則…… 理時，英國高等法院已經審結了該宗在英 關的申請。第21M(4)條的規定，與英國 對某一項條款所作的解釋，會根據不同 國提起的訴訟，並裁定Compania勝訴。 的《1982年法令》第25(2)條相類似，儘 國家的法律而異……而該等法律會對某一 香港上訴法庭遵循Refco一案的原則，考 管後者的用詞並非「不公正或不便」， 項「專有司法管轄權條款」作出何等程度 慮Compania是否具有針對被告人的充分 而是「不適當或不宜」，然而就目前的討 的承認，也存在合法的差異」 (id., para. 的可爭辯理據(a good arguable case)(這 論而言，該等差別其實並不重要。根據英 60)。司法禮讓原則要求香港法院不就該 意謂，具有充分的可爭辯理據，是法庭 國法律，在司法管轄權方面出現的衝突， 「專有司法管轄權條款」的強制執行提供 考慮會否頒發資產凍結令的其中一項準 可以令致法院行使其管轄權批予非附屬的 任何協助，以免其介入了兩地法院之間的 則)。上訴法庭的此舉，是忽視Compania 臨時濟助方面，顯得不適當或不宜(參見 衝突。 在英國法院已取得的一項「馬瓦雷」 Motorola一案，para. 115)。 (Mareva)型濟助，而英國法院在其審訊 終審法院的裁決 很明顯，即使Compania 能夠證明其擁有 中，亦裁定該項「專有司法管轄權條款」 香港終審法院推翻了上訴法庭所作的裁 針對被告人的充分的可爭辯理據，上訴法 屬於有效。上訴法庭以Morritt LJ在Refco 決，Lord Phillips並指出了上訴法庭在 庭依然會拒絕頒發資產凍結令，因為此舉 一案所作的上述評論及以Motorola Credit 論證方面所犯的兩項主要錯誤(其餘法 會顯得不公平或不便。上訴法庭認為頒發 Corporation v Uzan (No. 2) [2004] 1 官表示贊同)。首先，上訴法庭錯誤解 資產凍結令，將會導致其介入英國法院與 WLR 113(另一個權威案例)為依據，裁定 釋Morritt LJ在Refco一案所提出的附帶 中國法院在司法管轄權方面的衝突。Lord 該根據第21M條之規定而提出的申請， 意見。事實上，該等意見並沒有就上訴 Phillips認為這一想法是錯誤的。「香港法 其所進行的法庭聆訊，必須「根據香港法 法庭的以下觀點提供任何理據：即是， 院並沒有被要求協助英國法院強制執行某 律來審視申請人所提出的申索，是否具有 在對第21M條的適用作出裁定時，法庭 項「專有司法管轄權條款」。然而，對於 可靠理據及可爭辯性，而並非單純承認外 必須按照香港法律，考慮該案所提出的 英國法院因當事人違反有關條款而判給的 地法院的裁決」 ([2015] 2 HKLRD 458, 實質申索是否具有可靠的依據。另一方 損害賠償，上訴法庭確曾被要求協助強制 para. 32)。 面，Motorola一案也並非此一處理途徑的 執行有關裁決。」 (FACV 1/2016, para. 最後，上訴法庭基於司法禮讓原則而作出 權威依據。謹此載述Motorola一案的某部 59) 因此，該案所尋求的和法庭向其提供 針對Compania的判決。上訴法庭並不信 分相關內容如下(Lord Phillips指出必須「 的協助，事實上乃關乎強制執行一項涉及 納，倘若Compania在香港提起實體性的 以謹慎態度視之」)： 違反合約條款的英國裁決，而這並不涉及

38 www.hk-lawyer.org February 2017 • DISPUTE RESOLUTION 解決糾紛

介入英國法院與中國法院在司法管轄權方 另一方面，終審法院所持的觀點，也可以 終審法院與上訴法庭之間的分歧，似乎源 面的衝突。 獲得其他方面的進一步理據支持。我們可 於上訴法庭較為關注與Compania所提出 以想像，申請人也許會在一個屬於民法系 之申請有關的更廣泛情況。Compania在 終審法院並不認為，英國法院維持該「專 統的司法管轄區(其所作出的判決將可在 其所提起的英國法律程序中，主要是要 有司法管轄權條款」的有效性，並基於當 香港強制執行)，提出該等在普通法下沒 求法院給予「禁制境外訴訟令」方面的濟 事人對該項條款的違反，而判另一方獲得 有充分理據支持的申索。因此，如果我們 助。該資產凍結令的標的金額，相當於其 損害賠償，是違反了司法禮讓原則。英國 要求一個須根據第21M條之規定來審理 所尋求的損害賠償，而這亦反映了該等在 法院頒發「禁制境外訴訟令」，並透過一 有關申請的法庭，裁定申請人根據香港的 中國進行的訴訟中，已經或可能會進一步 項英國「專有司法管轄權條款」，以體現 法律是否具有充分的可爭辯理據，此舉實 獲中國法院判給之金額。不同的司法管轄 當中所涉及的合約協定的有效性，這並沒 在沒有多大意義。 區，對「專有司法管轄權條款」會有不同 有違反司法禮讓原則(The Angelic Grace 的取態，但不論如何，中國法院已取得了 [1995] 1 Lloyd’s Rep 87一案是這方面 法庭是否應當根據第21M(4)條拒絕頒發 有關的司法管轄權。在這情況下，法庭作 的重要典據)。 資產凍結令呢？英國法院有權維持該「 出有利於Compania的裁決，並頒發其所 專有司法管轄權條款」的有效性，並就 因此，司法禮讓原則並非本案的重點所 尋求的資產凍結令，這與賦予該「專有司 其違反，判給另一方損害賠償(上訴法庭 在。 法管轄權條款」效力，實際上是很難作出 同意這一點)。至於終審法院，它根據第 區分。個人認為，上訴法庭在這方面的取 不同的取態 21M(4)條作出有利於Compania的上訴判 態較為具說服力。 決便已經足夠。該等在英國提起的法律程 Lord Phillips所強調的，是第21M條的法 序，並不存在任何情況，會使得頒發資產 需要補充的一點是，在Compania一案 定目的，亦即是：就該等可在香港強制執 凍結令顯得不公平或不便。相反，上訴法 中，被告人明顯沒有為其自身提供任何幫 行的外地判決，致力促進其實施或強制執 庭認為英國法院擁有適當的司法管轄權， 助。終審法院及英國商事法庭皆認為，被 行的進程。因此，人們是否能夠根據香港 可以強制執行該「專有司法管轄權條款」 告人在中國提起訴訟，其態度並非出於真 法律成功地提出實質申索，這看來並不 ，但這是一個遠遠未能成為定論的看法。 誠。Cooke J在英國商事法庭審理有關案 重要，而重要的是： 該宗在外地進行的 該案件必須從香港法院的角度來考慮，並 件時指出，有充分理由相信該等在中國進 訴訟倘若導致產生了某項判決，它是否一 須受限於司法禮讓原則，以及須考慮可 行的法律程序，是被告人藉欺詐手段而將 項可透過香港法院加以強制執行的判決。 能導致英國法院與中國法院在司法管轄 其提起的。在終審法院作出其判決之時， 基於這一點，外地法院倘若已對該等實質 權方面產生衝突的情況(終審法院似乎沒 中國法院針對Compania而下達的判決， 申索的可靠程度作出了審視，香港法院理 對此等情況的存在提出質疑)。該等英國 大部分已於上訴階段被推翻。無論人們對 應重視其所得出的結論；至於該等實質申 法律程序即使並沒有違反司法禮讓原則， 終審法院和上訴法庭在Compania一案中 索根據香港的法律是否屬於有理可據，這 但也未能回答對司法禮讓問題的關注(正 的不同取態，會抱持什麼樣的看法，但他 問題並不相關。關鍵之處是，原告人在外 如在其判決中所解釋的)，也未能確認在 們不大可能企求被告人能在香港法院取得 地法院的席前，是否具有充分的可爭辯理 Compania一案中，並不存在司法禮讓方 更佳的結果。 據？個人認為，終審法院對該案所作的論 n 面的問題。 證是具有說服力的。

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Supreme People’s Court Clarifies Approach to Protecting Personal Name Rights in China

By James Lau, Associate Baker & McKenzie

40 www.hk-lawyer.org February 2017 • ON CHINA 中國實務

n 8 December 2016, the Supreme (2) In respect of seven other marks OPeople’s Court of the People’s containing the English transliteration Republic of China (“SPC”) issued ten of “喬丹 (Qiao Dan in Chinese)” (ie, decisions in Michael Jeffrey Jordan v “QIAODAN” (Registration Nos. 6020568, Trademark Review and Adjudication Board, 6020575, 6020571 and 6020566), three of which were in favour of Michael “ ” (Registration No. 9286585), Jordan. Apart from recognising the “ ” (Registration No. 9292836) former NBA superstar’s personal rights and “ ” (Registration in “喬丹 (Qiao Dan in Chinese)” (these No. 9292824) (Case Nos. 20, 25, 28, are the Chinese characters recognised 29, 30, 31 and 32)), the SPC held that as corresponding to Michael Jordan’s the registration of these marks did not surname), the SPC also clarified the proper infringe Michael Jordan’s personal name approach in safeguarding personal name rights, and the petitions for retrial were rights under PRC trademark law. dismissed. Background This article focuses on the three favourable Although Nike had obtained registration rulings (Case Nos. 15, 26 and 27) and of the “JORDAN” mark in China back in the discusses how the SPC’s approach towards 1990s, Nike and Michael Jordan did not file personal name rights differed from the applications for the corresponding Chinese approach of the lower courts. characters “喬丹 (Qiao Dan in Chinese)”. A local PRC company known as Qiaodan Intermediate and Higher Sports Co., Ltd. (“Qiaodan Sports”) started People’s Court Decisions operations in 2000 and registered a large Article 31 of the 2001 Trademark Law number of “喬丹 (Qiao Dan in Chinese)”, provides that “… an application for the “QIAODAN” and device marks while registration of a trademark may not prejudice expanding its business operations across the existing right of priority of any third China. party …”. In 2012, Michael Jordan applied to the The Beijing No. 1 Intermediate People’s Trademark Review and Adjudication Board Court (“Intermediate Court”) held in Case (“TRAB”) to cancel various marks owned Nos. 15, 26 and 27 that “喬丹 (Qiao Dan in by Qiaodan Sports. In the ten cancellation Chinese)” was a common foreign surname, applications, Michael Jordan argued, and that there was insufficient evidence amongst other things, that the registration to prove that the mark refers to Michael of the marks infringed his personal Jordan. In other words, while not denying 喬丹 name rights. In 2014, TRAB rejected the that “ (Qiao Dan in Chinese)” was a cancellation applications. After a series of counterpart for “JORDAN”, the Intermediate unsuccessful court appeals, Michael Jordan Court did question whether those characters necessarily referred to Michael Jordan’s filed petitions for retrial of these ten cases name and whether Michael Jordan could before the SPC. therefore claim prior rights in those The SPC made two sets of rulings: characters based on his personal name (1) In respect of three “喬丹 (Qiao Dan in rights. The Intermediate Court also observed Chinese)” marks (Registration Nos. that both Michael Jordan and Qiaodan REUTERS/Aly Song 4152827, 6020565 and 6020569) (Case Sports had formed different customer bases Nos. 15, 26 and 27), the SPC held that in the market and maintained a stable the registration of these marks infringed relationship as business competitors. Based Michael Jordan’s personal name rights in on these observations, the Intermediate violation of Art. 31 of the 2001 Trademark Court upheld the TRAB’s decisions. Law, and it ruled that the marks should The Beijing Higher People’s Court also be cancelled. The SPC ordered the TRAB upheld the Intermediate Court’s decisions on to reissue decisions in these cases. appeal.

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The SPC Judgments (5) As such, even though a name may not included a warning to prospective correspond solely to a single natural investors that “… some consumers may As noted above, the SPC took a different person, it is sufficient that there is associate the Issuer [Qiaodan Sports] approach in ascertaining the scope of a stable corresponding relationship and its products with Michael Jordan [邁 protection of Michael Jordan’s personal (穩定的對應關係) between the two. 克爾·喬丹], which may in turn lead to name rights. There are three conditions, namely: confusion or misunderstandings …”. Prior Right Includes Right to One’s (i) that the name in question should The SPC also gave considerable weight Name enjoy a certain degree of fame in to two notarized consumer surveys The SPC considered whether it is China and be known to the relevant covering Beijing, Shanghai, Guangzhou, necessary for consumers to exclusively public; (ii) that the relevant public Chengdu and Changshu, which showed associate a trademark with the owner identifies that natural person through that 85 percent and 63.5 percent of of associated personal name rights: the name; and (iii) that the natural consumers associated “喬丹(Qiao specifically, whether personal name person has established a stable Dan in Chinese)” with Michael Jordan. rights could be recognised and enforced, corresponding relationship with the By contrast, only 14.5 percent and even though the “喬丹 (Qiao Dan in name. 24 percent of consumers associated “喬 Chinese)” mark might be referring The implication of the SPC’s ruling is that 丹 (Qiao Dan in Chinese)” with Qiaodan to other persons with the surname no one can establish that he or she has Sports. It is interesting to note that “JORDAN” and not just the plaintiff exclusive rights in a personal name, or Qiaodan Sports also submitted a report Michael Jordan. in other words, that he or she is the only conducted in June 2012, which found The SPC recognised the difficulty in person entitled to seek protection of the that only 7 percent of Qiaodan Sports’ assessing the extent to which a person’s name. Provided that the requirements consumers associated the “QIAODAN / name should be protected by law, and it of the abovementioned test are fulfilled, 喬丹體育 (Qiao Dan Sports in Chinese)” ruled as follows: however, a common name (such as brand with Michael Jordan, while (1) A natural person enjoys personal “JORDAN”) can be protected under the 90 percent of consumers thought that “ 喬丹體育 name rights, and is entitled to choose law even though there may be other (Qiao Dan Sports in Chinese)” and change his or her name. However, persons with the same name. was a local brand unaffiliated to Michael such person may not prohibit another Jordan. The SPC refused to take this Analysis of the Present Case person from legally adopting the report into consideration when making same name in good faith. Applying the above test, the SPC held its ruling, as the report did not contain that “喬丹 (Qiao Dan in Chinese)” enjoys details on the methodology for the (2) As multiple persons may have the a rather high degree of fame in China interviews or on the specific questions same name, it is difficult for a natural and it is known to the relevant public: the asked. person to establish an exclusive public uses “喬丹 (Qiao Dan in Chinese)” corresponding relationship (唯一對應 Although the SPC noted that “JORDAN” to refer to Michael Jordan and “喬丹 關係) to that name. is a common foreign surname, it also (Qiao Dan in Chinese)” and the name recognised that the fame of such names (3) Further, a natural person may also “JORDAN” have a stable corresponding in China is limited. In particular, it noted have other names (such as a stage relationship. that there was no evidence to prove that name, pen name or alias), and the In making its ruling, the SPC took into the relevant public would associate “喬 fame of these other names may be consideration the large amount of 丹 (Qiao Dan in Chinese)” with any other greater than the natural persons’ articles, books, magazines printed in person. The SPC also gave consideration actual name in certain circumstances. China that had used “喬丹 (Qiao Dan to Qiaodan Sports’ admission during the (4) The test that a natural person must in Chinese)” to refer to Michael Jordan. first instance trial that apart from Michael prove that he or she has an exclusive This evidence persuaded the SPC that Jordan and Qiaodan Sports, it was not corresponding relationship with his the relevant public does indeed identify aware of any other person enjoying such or her name is unnecessarily harsh. If Michael Jordan by the name “喬丹 (Qiao continuous influence and fame in China. this test is adopted, then the personal Dan in Chinese)”. Bad Faith name rights of other persons’ with the The SPC also referred to a section same name or the rights of persons When making its ruling, the SPC also entitled “Brand Risk” appearing in a with other names (such as a stage took account of Qiaodan Sports’ bad prospectus prepared by Qiaodan Sports. name or alias) cannot be given any faith. It held that the evidence submitted In that prospectus, Qiaodan Sports protection. proved that Qiaodan Sports was aware

42 www.hk-lawyer.org February 2017 • ON CHINA 中國實務

of the high degree of fame of Michael Jordan and its name “(Qiao Dan in 最高人民法院明確了 Chinese)” when it filed its various trademark applications. For example, at different stages of 中國在保護姓名 the proceedings Qiaodan Sports gave conflicting explanations as to how it came up with the “ 喬丹 (Qiao Dan in 權方面的取態 Chinese)” mark. In 2012, Qiaodan Sports argued in a case before the Shanghai No. 2 Intermediate People’s Court that “ 喬丹 (Qiao Dan in Chinese)” meant “southern grass and wood (南方之草 木)”. In a later hearing in October 2014, it told the Intermediate Court that the mark means “good intention; good will (美好的意思; 美好意愿)”. During the SPC hearings in 2015, it claimed that it had hired a local trademark firm to come up with the name in the mid- 1990s. The SPC also noted that Qiaodan Sports and its affiliates had filed a large number of pirate applications for 作者 劉炯宇 律師 貝克‧麥堅時律師事務所 marks associated with Michael Jordan (eg, applications for marks containing the number “23”, applications for 華人民共和國最高人民法院(下稱 2012年，Michael Jordan向中國的商 a silhouette of a basketball player 中「最高人民法院」)於2016年12月 標評審委員會(Trademark Review and resembling Michael Jordan and 8日就Michael Jeffrey Jordan v Trademark Adjudication Board)提出起訴，要求撤 applications for the names of Jordan’s Review and Adjudication Board一案所涉 銷「喬丹體育」所擁有的各個商標。在 two children). 及的10件案件作出了公開宣判，而當中3 其所提出的10項撤銷商標註冊的申請 Conclusion 件裁定Michael Jordan勝訴。最高人民法 中，Michael Jordan指該等商標侵犯了他 The SPC decisions may be helpful for 院除了承認這位前NBA超級球星對「喬 的姓名權，但商標評審委員會在2014年 foreign brand owners seeking protection 丹」(其中文讀音是Qiao Dan，一般人將它 駁回了Michael Jordan的撤銷商標申請。 of their personal name rights in China. 視為Michael Jordan姓氏的中文譯音)一名 在一連串的上訴失敗後，Michael Jordan The decisions provide much needed 所享有的姓名權之外，也就姓名權在中國 向最高人民法院提出呈請，要求重新審 clarification by ruling that a person need 核其所提出的該10項申請。 not prove that he or she has an exclusive 《商標法》下所受到的保護作出了闡述。 corresponding relationship to the name 最高人民法院作出了如下的兩系列裁 in question: it should be sufficient if the 背景 決： person asserting the rights can show the 雖然早於20世紀90年代，Nike已在中 name has a certain degree of fame in 國為“JORDAN”這一商標進行註冊， (1) 最高人民法院認為「喬丹體育」 China, that the Chinese public identifies 但Nike與Michael Jordan均沒有申請 所註冊的三個「喬丹」商標(註 the person through that name and that 冊編號：4152827、6020565 a “stable corresponding relationship” 將“JORDAN”的相應中文字符「喬 、6020569)(案件編號：15、26 can be established between the person 丹」註冊成為商標。中國一家名為喬丹 and the name. Of course, collecting 體育股份有限公司(下稱「喬丹體育」)的 、27)侵犯了Michael Jordan的姓名 sufficient evidence of fame will be key for 運動服裝公司於2000年開業，它在中國 權，及違反了2001年《商標法》第 the relevant brand owners, and in this 各地開拓業務的同時，也將大量的「喬 31條的規定，因此裁定該等商標應 regard the SPC’s acceptance of market 丹」、“QIAODAN”標誌和圖形註冊成 予撤銷，並命令商標評審委員會對 survey evidence is also encouraging. n 為商標。 該等案件重新作出裁定。

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(2) 對於其他七個屬於「喬丹」的英 在先權利包括對某人名字所享的權利 一有權尋求保護該名字的人。然而，只

文譯音(即“QIAODAN”)的商標( 最高人民法院考量了消費者是否必然會將 要符合上述的驗證，則即使是一個常見 註冊編號：6020568、6020575 某個商標，與享有相關姓名權的人士聯繫 的名稱(例如：“JORDAN”)，也仍然可 、6020571、6020566)，“ 以依法獲得保障(儘管可能有其他人採用 起來：尤其是，即使該「喬丹」商標所 ”(註冊編號：9286585)， 指的，並非原告人Michael Jordan，而是 同一名字)。 ”(註冊編號：9292836)及“ 另外一些其姓氏同樣為“JORDAN”的 對本案的分析 ”(註冊編號：9292824)( 人；在這情況下，姓名權是否仍然獲得承 最高人民法院根據上述驗證，認定 案件編號：20、25、28、29、30 認，以及可加以強制執行？ 、31、32)，最高人民法院認為該 「喬丹」這名字在中國具有相當的知名 最高人民法院承認，人們的姓名享有何等 等商標的註冊，並沒有侵犯Michael 度，並且為相關公眾所知悉：公眾以 程度的法律保護，要在這方面作出評估， Jordan的姓名權，故拒絕接納其要求 「喬丹」一名來稱呼Michael Jordan， 確實存在相當的困難。最後，最高人民法 重新作出裁定的呈請。 而“JORDAN”這名字亦具有穩定的對 院作出以下裁決： 應關係。 本文重點討論該三項裁定Michael Jordan 勝訴的裁決(案件編號：15、26、27)， (1) 任何自然人皆享有姓名權，並有權選 最高人民法院在作出其裁決時，考慮到中 並察看在姓名權爭議的問題上，最高人民 擇和更改其姓名。然而，他無權禁止 國有許多文章、書籍、雜誌，均使用「喬 法院與下級法院的取態有何不同。 其他人合法而真誠地採用同一名字。 丹」一名來稱呼Michael Jordan，這使最 (2) 在社會中，同一個名字往往會有多於 高人民法院確信，相關公眾確實是透過「 中級和高級人民法院的裁定 一個人使用，因此自然人很難與其名 喬丹」一名來識別Michael Jordan。 2001年《商標法》第31條訂明：「...... 字確立唯一對應關係。 最高人民法院也提到，「喬丹體育」曾刊 申請商標註冊不得損害他人現有的在先權 (3) 此外，自然人也可能會擁有其他的名 發一本招股說明書，而當中的「品牌風 利...... 」。 字(例如：藝名、筆名或別名)，並且 險」環節，載有一項對潛在投資者的警 北京市第一中級人民法院(下稱「中級人 在某些情況下，這些名字所具有的知 告：「...可能會有部分消費者將發行人及 民法院」)在第15、26、27號案件中裁 名度，可能會大於該自然人的實際名 其產品與Michael Jordan [邁克爾·喬丹] 定，「喬丹」是一個常見的外國姓氏， 字。 聯繫起來，從而產生誤解或混淆...」。 因此並沒有充分證據證明，該商標所指 (4) 一個嚴苛的驗證是：自然人必須能夠 此外，最高人民法院也相當重視兩份向消 的是Michael Jordan本人。換句話說， 證明其本人與其名字具有唯一對應 費者進行，並獲得公證處公證，範圍涵 「中級人民法院」雖然並沒有否定「喬 關係。如果這項驗證獲得採納，那麼 蓋北京、上海、廣州、成都、常熟等五 丹」是“JORDAN”的對應名稱，但卻 其他具有相同姓名的人所享有的姓名 個城市的調查報告。該兩份調查報告顯 質疑「喬丹」一名所指的，是否必然就 權，又或是擁有其他名字(例如：藝 示，分別有85%及63.5%的消費者，將 是指Michael Jordan本人；以及，Michael 名或別名)的人所享有的權利，將不 「喬丹」與Michael Jordan聯繫起來。相 Jordan是否可以根據其享有的姓名權提 能獲得任何保護。 比之下，只有14.5%及24%的消費者， 出在先權利主張。此外，「中級人民法 (5) 因此，即使某一個姓名並非只與某一 將「喬丹」與「喬丹體育」聯繫起來。 院」也指出，Michael Jordan與「喬丹體 個自然人對應，但只要兩者之間存 另一方面，「喬丹體育」也提交了一份 育」各自在市場上擁有不同的客戶群，而 在穩定的對應關係，它便可以依法 在2012年6月進行的調查報告，當中顯 他們雙方也維持著穩定的商業競爭關係。 獲得保障。這當中涉及三個條件， 示在「喬丹體育」的顧客中，只有百分 根據上述觀察，「中級人民法院」乃維持 即是：(i)該名字在中國應當享有一定 之七將“QIAODAN ”/「喬丹體育」與 商標評審委員會的原來裁定。 的知名度，並為相關公眾所知悉；(ii) Michael Jordan聯繫起來，而其顧客當 在上訴階段，北京市高級人民法院也維持 相關公眾是透過該名字來識別該自然 中，認為「喬丹體育」是一個與Michael 「中級人民法院」的該項裁決。 人；及(iii)該自然人與該名字相互建 Jordan並無任何關連的本地品牌的，人 立了穩定的對應關係。 數卻達百分之九十。然而，由於該份報告 最高人民法院的判決 並沒有詳述進行相關調查或提出具體問題 最高人民法院的該項裁決意味著：沒有 如上所述，最高人民法院是以不同的處理 的方法，因此最高人民法院在下達其判決 人可以聲稱其對某一個名字享有專屬權 方式，來確定Michael Jordan在姓名權方 時，並沒有將此等調查結果列入其考慮之 利，又或是換句話說，聲稱其本人乃唯 面所應享有的保護。 列。

44 www.hk-lawyer.org February 2017 • ON CHINA 中國實務

雖然最高人民法院指出，“JORDAN” 丹」的意思是指「南方之草木」。後 一項十分重要的說明，即是說：對該權 是一個常見的英文姓氏，但也承認，該姓 來，在2014年10月進行的一次審訊中， 利提出主張的人，倘若其能夠證明有關 氏在中國的知名度只是有限。它特別指 「喬丹體育」告訴中級人民法院，該商 名字具有一定的知名度，而中國的公眾 出，並沒有任何證據可以證明，相關公眾 標的含義是「美好的意思；美好意願」 是透過該名字來識別他或她，並且該人 會將「喬丹」與任何其他人聯繫起來。 。在2015年於最高人民法院進行的審訊 與該特定名稱之間已建立「穩定的對應 此外， 最高人民法院也考慮了「喬丹體 中，它又聲稱曾在90年代中期聘請了一 關係」，那麼，其姓名權將可以依法獲 育」在一審時所作的承認，即是：除了 家本地商標公司設計這一名稱。最高人 得保護。當然，在知名度方面搜集充分 Michael Jordan及「喬丹體育」外，他們 民法院亦指出，「喬丹體育」及其關聯 的證據，這對相關品牌的擁有人來說， 並不知悉在中國是否還有其他人享有如此 公司將大量與Michael Jordan相關的標 是一項十分重要的舉措，而最高人民法 持續的影響力和知名度。 誌申請註冊成為商標(例如，他們申請將 院願意接納相關的市場調查報告作為證 包含數字「23」的標誌註冊成為商標； 據，也是一項令人十分鼓舞的舉措。 n 惡意 申請將一個與Michael Jordan身體輪廓基 最高人民法院在作出裁決時，也考量了 本相同的籃球運動員的剪影註冊成為商 「喬丹體育」所懷有的惡意。它認為 標；以及，申請將Michael Jordan的兩名 該等向法院提交的證據，顯示「喬丹體 子女的名字註冊成為商標)。 育」在提出其各項商標申請時，已知悉 Michael Jordan及其中文譯名「喬丹」具 結論 有相當高的知名度。 最高人民法院的裁決，對於尋求在中 例如，在不同的訴訟階段，「喬丹體 國保護其姓名權的外國品牌擁有 育」就其採用「喬丹」一名所提供的解 人來說，應該具有相當實質的 釋，出現了不少自相矛盾的地方。在上 幫助。該裁決裁定，當事人 海市第二中級人民法院於2012年審理 無需證明其與有關名字具 的一起案件中，「喬丹體育」辯稱「喬 有唯一的對應關係，這是

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INDUSTRY INSIGHTS 業 界 透 視

ACCOUNTANTS sanction without the agreement of the 會計師 respondents. 紀律上訴 Disciplinary Appeals However, the respondents appear to The Court of Appeal’s interesting have a different take on the application 上訴法庭在Registrar of Hong Kong judgment in Registrar of Hong Kong of HKAS 39 in the circumstances. Institute of Certified Public Accountants v Institute of Certified Public Accountants Dissatisfied with the disciplinary Wong & Anor [2016] 4 HKLRD 763*有意 v Wong & Anor [2016] 4 HKLRD 763*, committee’s decision, the respondents 思的判決證明，香港法庭通常不願干涉專 demonstrates a general reluctance on appealed to the Court of Appeal the part of the courts in Hong Kong to (pursuant to s. 41(1) of the Ordinance). 業團體就技術標準的應用所作出的決定。 interfere with a decision of a professional That appeal failed and the Court of 這宗案件涉及與處理金融資產方法有關的 body’s disciplinary committee regarding Appeal also refused permission to 會計準則在上市公司審核帳戶的應用。 the application of technical standards; appeal. The respondents have applied to in this case, the application of an the Court of Final Appeal for permission 兩名答辯人分別是會計師和會計師樓 accounting standard regarding how to to appeal. For a relatively modest legal (「答辯人」)。答辯人就公司的2009年財 treat a financial asset for the purposes of spend, in the whole scheme of things, 務報表發出了無保留審核意見書。在審計 the audited accounts of a listed company. a successful appeal might result in 調查委員會調查完在審計方面可能出現的 favourable costs orders. The publicity The respondent accountants had issued an 不當之處，並向香港會計師公會提交報告 associated with an appeal arising out of unqualified audit opinion on the company’s disciplinary proceedings does not appear 之後，紀律委員會被指派處理有關投訴。 financial statements for 2009. Following to bother the respondents. 紀律委員會最終認定答辯人犯錯，因為他 an investigation into a possible auditing 沒有遵守專業標準，違反了《專業會計 irregularity and a report to the HKICPA, It will be interesting to see what the a disciplinary committee was appointed. Appeal Committee of the CFA make of 師條例》(第50章)第34(1)(a)(vi)條――這 The disciplinary committee concluded the application for permission to appeal. 宗案的答辯人沒有遵守香港會計準則第 that the respondents were at fault for One can foresee a natural reluctance on 39號(「金融工具：確認及計量」――特 the part of an appellate court to put itself failing to observe a professional standard, 別是第58段「金融資產的減值及不可收回 contrary to s. 34(1)(a)(vi) of the Public in a position where it might (in effect) be 的可能性」，以及第67段「可供出售的金 Accountants Ordinance (Cap. 50) – in this required to second-guess a disciplinary case, Hong Kong Accounting Standard 39 committee’s decision regarding the 融資產」)。 (“Financial Instruments: Recognition and application of a technical accounting 相關調查報告認為，答辯人應就該公司財 Measurement” – in particular, “Impairment standard that arguably is better left to a 務報表發表經修訂意見。答辯人被罰款 and uncollectibility of financial assets”, tribunal made-up of members with the 10,000港元，相對而言，紀律委員會對答 para. 58, and “Available-for-sale financial relevant experience. The same could also assets”, para. 67). be said of technical matters raised during 辯人處罰輕微，反映被指控的過失孰大孰 the course of the disciplinary proceedings 小。紀律委員會亦特意作出指示：任何人 The relevant investigation report of other professional bodies in Hong Kong considered that the respondents should 未經答辯人同意，不得公開紀律委員會所 (in the absence of an obvious error on the have expressed a modified opinion on 施加的處罰。 part of a disciplinary body). the company’s financial statements. 然而，答辯人對香港會計準則第39號的應 The relatively light sanction ordered by - David Smyth, Partner, Smyth & Co in 用似乎並不一樣。答辯人不服紀律委員會 the disciplinary committee (a penalty association with RPC of HK$10,000) reflects the scale of the 的決定，向上訴法庭提出上訴(以《專業 alleged transgression. The disciplinary * The case is also a good example of some 會計師條例》第41(1)條為依據)。答辯人 committee also exceptionally directed of the complexities often associated with disciplinary proceedings involving certified 上訴失敗，上訴法庭亦拒絕批准答辯人上 that there be no publicity of its public accountants in Hong Kong.

46 www.hk-lawyer.org February 2017 • INDUSTRY INSIGHTS 業 界 透 視

訴。答辯人向終審法院申請上訴許可。從 Why be amended accordingly; the intention 整體大局看，法律開支相對地算不上多， Hong Kong is due to undergo her next being that non-compliance with the CDD 上訴成功可能帶來有利的訟費令。紀律程 Financial Action Task Force (“FATF”) and record-keeping requirements of the Ordinance could trigger professional 序引發上訴，上訴會令事件曝光，但答辯 mutual evaluation some time in 2018. Given that the Ordinance (hence, its disciplinary procedures. In the event 人似乎對此並不在乎。 name) only applies to specified financial of a breach, the professional regulator 終審法院上訴委員會就上訴許可申請作出 institutions, the government considers could apply the same range of regulatory sanctions as they can at present. 甚麼決定？看看結果如何會是非常有意 that there is a “regulatory gap” as regards the DNFBP. The government’s 思的。當有可能(實際上)需要猜測紀律委 In the consultation document, it is not priority is to maintain Hong Kong’s overall proposed (for now) to enforce the CDD 員會就技術性會計準則的應用所作出的決 rating in the next mutual evaluation, and record-keeping requirements against 定，上訴法庭不會願意插手干涉。這是自 which is important in maintaining the solicitors, accountants and estate agents 然不過並人人預見得到的；可以說，這個 status of an international financial centre. by means of new criminal sanctions; an 決定較適合交由具有相關經驗的會員所組 The question arises whether the important point on which the professional 成的審理委員會處理。同樣的說法可以套 proposals are necessary with respect to bodies concerned will (no doubt) wish to monitor developments. Neither is it 用到香港其他專業團體的紀律程序中所產 solicitors and foreign lawyers practising in Hong Kong given the contents of their proposed that these professional bodies 生的技術問題(當執行紀律的機構並沒有明 Practice Direction P. be given the additional investigatory 顯犯錯的時候)。 powers conferred by the Ordinance How on the relevant regulators of financial - 施德偉合夥人， Schedule 2 of the Ordinance provides institutions; for example, such as the SFC Smyth & Co與RPC聯營 for (among other things) stringent and the Hong Kong Monetary Authority. customer due diligence and record- Should this position change as regards * 涉及香港註冊會計師的紀律程序通常離不開複雜的問 題，這案亦是說明部分複雜問題的好例子。 keeping requirements, breach of which lawyers, then careful thought will be by a specified financial institution can necessary in light of the fundamental result in a criminal offence or regulatory importance of legal advice privilege to the sanction. The proposal is to drop the unique relationship between lawyers and ANTI-MONEY LAUNDERING expression “Financial Institutions” from their clients (as widely construed). the title of the Ordinance. Schedule 2 of When Designated Non-Financial the Ordinance would then be extended to Businesses and Professions cover the DNFBP, which would become The current consultation period closes on subject to the same or similar CDD and 5 March 2017. Given the upcoming FATF What record-keeping requirements as the mutual evaluation, it appears that the In January 2017 the Financial Services financial institutions. relevant government departments would and the Treasury Bureau of the like to introduce draft legislation this year. The proposal is for the self-regulatory The draft legislation will require careful government published a consultation bodies for solicitors, accountants and document “Enhancing Anti-Money scrutiny. When the proposed legislation estate agents to have statutory oversight is due to become operative is yet to be Laundering Regulation of Designated Non- for monitoring and enforcing compliance Financial Businesses and Professions”. determined; however, one can imagine by their respective members. For that those stakeholders promoting the In short, the consultation proposes to the TCSP, it is proposed to introduce legislation will want to have it in place extend the customer (client) due diligence a licensing regime overseen by the by the time of the FATF’s next mutual and record-keeping requirements of the Registrar of Companies. evaluation report on Hong Kong. Anti-Money Laundering and Counter- As far as the Legal Practitioners Terrorist Financing (Financial Institutions) Ordinance, Professional Accountants - Jason Carmichael and Warren Ganesh, Ordinance (Cap. 615) (the “Ordinance”) Ordinance and Estate Agents Ordinance Smyth & Co in association with RPC to certain Designated Non-Financial are concerned, the proposal is that they Businesses and Professions (“DNFBP”) in Hong Kong. For this purpose, the DNFBP include solicitors, foreign lawyers and their employees (including trainee solicitors), accountants, real estate agents and trust or company service providers (“TCSP”) (but not barristers or notaries).

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打擊清洗黑錢 確保成員遵守有關規定。諮詢文件亦建議 arbitration as between the parties and to 引入信託或公司服務提供者發牌制度，由 confirm that it would not be contrary to 指定非金融企業及行業 公司註冊處處長進行監察。 public policy to enforce an arbitral award involving IPRs. 甚麼事？ 《法律執業者條例》、《專業會計師條 Arbitration has been increasingly used 例》和《地產代理條例》的相關部分會作 香港特區政府財經事務及庫務局在2017 as a means to resolve IPR disputes. 年1月發出諮詢文件《加強規管指定非金 出相應修訂，目的是令專業紀律程序在律 It has greater “flexibility” compared 融企業及行業以打擊洗錢》。 師、會計師或地產代理不遵從《條例》 to traditional legal proceedings. For 的客戶盡職審查及備存紀錄規定的時候啓 example, parties with rights in multiple 簡單地說，諮詢文件建議把《打擊洗錢及 動。如有違規情況，專業監管機構可施加 jurisdictions can have their disputes 恐怖分子資金籌集(金融機構)條例》(第 determined in a single proceeding, 其現時同樣可施加的監管制裁。 615章)(「《條例》」)所訂明的客戶盡職 which avoids conflicting results. The 審查及備存紀錄的規定，擴大至涵蓋香港 諮詢文件不建議(現時來說)施加新的刑事 proceeding and the arbitral award remain confidential, but they will be binding on 某些指定的非金融企業及行業(「指定非金 制裁以執行適用於律師、會計師和地產 the parties. The parties can also select 代理的客戶盡職審查及備存紀錄規定；關 融企業及行業」)。就此而言，指定非金融 their preferred experts as arbitrators. 企業及行業包括律師、外國律師， 以及律 注這個重點的專業機構，(無疑)都希望監 Despite these advantages, there has 師和外國律師的僱員(包括見習律師)，還 察這方面的發展。諮詢文件也不建議額外 been, real or perceived, uncertainty as 賦予這些專業機構調查權力，也就是《條 有會計師、地產代理，以及信託或公司服 to whether IPR disputes are arbitrable 務提供者(但不包括大律師或公證人)。 例》賦予監管機構(例如證監會和香港金融 (which may have an impact on the 管理局)調查相關金融機構的權力。律師與 enforceability of an arbitral award, if 為甚麼？ 其客戶的獨特關係(正如普遍所理解)享有 successfully challenged). The present 香港即將在2018年某段時間接受下一輪 法律意見保密權，基於法律意見保密權極 Arbitration Ordinance does not specifically deal with this issue, and there 由財務行動特別組織(「特別組織」)進行 為重要，如果這種關乎律師的情況有變， is also no authoritative judgment in Hong 的相互評估。鑒於《條例》(因此其名稱) 就有必要作出周詳考慮了。 Kong addressing the point. The Bill, 只適用於指定金融機構，港府認為關於指 for the first time, stipulates clearly that 甚麼時候？ 定非金融企業及行業的規管制度存在「不 “IPR disputes” may be arbitrated. The 足之處」。港府須在下一輪相互評估中 今次諮詢期將於2017年3月5日結束。由 definition of “IPR disputes” under the new 保持香港的整體評級，而保持整體評級對 於特別組織的相互評估即將開始，相關政 Bill is sufficiently broad to cover disputes of whatever nature, whether related to 於保持香港的國際金融中心地位是很重要 府部門似乎都想在今年推出立法草案。立 enforceability, infringement, subsistence, 法草案需要謹慎擬訂，仔細斟酌。建議的 的。 validity, ownership, scope, duration or 法例適合在甚麼時候施行，現在仍未有決 現在產生一個問題：考慮到香港律師會 any other aspect. It also clarifies that a 定；不過人人都可以想像得到，鼓勵立法 Practice Direction P已有的內容，諮詢文件 third party licensee (whether or not an 的持份者都會希望，有關法例在特別組織 exclusive licensee) will not be bound by 還有必要提出有關香港執業律師和外國律 發表下一份有關香港的相互評估報告之前 the arbitral award if it is not a party to the 師方面的建議嗎？ 制定。 arbitral proceeding. 怎麼樣？ As an illustration of the above, we may - Jason Carmichael及莊偉倫， refer to an example of a dispute over 《條例》附表2就(其中包括)客戶盡職審查 Smyth & Co與RPC聯營 trade mark infringement. A party which is 及備存紀錄訂定嚴格規定，指明金融機構 accused of trade mark infringement will 如果違反規定，有可能觸犯刑事罪行或受 usually challenge the validity of the trade 到監管制裁。諮詢文件建議從《條例》的 ARBITRATION mark registration in question. In the case 標題刪除「金融機構」四個字，刪除「金 of arbitration, if the arbitrator decides Arbitration (Amendment) that the trade mark registration is invalid, 融機構」之後，《條例》附表2的涵蓋範 Bill 2016 the trade mark will be considered invalid 圍就會擴大至指定非金融企業及行業，此 as between the parties to the arbitration. The second reading of the Arbitration 等企業及行業就會像金融機構一樣，須遵 However, it remains valid as far as third (Amendment) Bill 2016 was commenced 守相同的或近似的客戶盡職審查及備存紀 parties are concerned. The winning party at the Legislative Council meeting on may, however, frame its relief in such a 錄規定。 14 December 2016. One of the main way as to seek an order from the arbitral objectives of the Bill is to clarify that 按照建議，律師、會計師和地產代理的自 tribunal against the registered trade mark disputes over intellectual property rights 我監管機構會獲賦予法定權力進行監管， owner directing him to surrender the (“IPRs”) are capable of settlement by

48 www.hk-lawyer.org February 2017 • INDUSTRY INSIGHTS 業 界 透 視

mark or to assign it to a particular party. 藉仲裁解決，一直存在(實質上或觀感上 CRIMINAL If the losing party refuses to execute the 的)不確定之處(如果成功反對爭議的可仲 order, the party may apply to the Court 裁性，有可能影響到仲裁裁決可否強制執 HKSAR v MD Emran Hussain: for leave to enforce the arbitral award. 行)。現時的《仲裁條例》沒有具體處理 When Should a Justice of Under the current Ordinance, there has 這項爭議，香港也沒有應對這項爭議的權 Appeal sit as a Justice of been some uncertainty whether the registered owner may challenge the order 威性判決。這是第一次在《條例草案》清 Appeal? (Update) by questioning the arbitrability of IPR 楚訂明「知識產權爭議」可以訴諸仲裁解 In September 2016, we reported on disputes. The Bill aims to ensure that an 決。「知識產權爭議」在新推出的《條例 the decision by the Appeal Committee arbitral award will not be unenforceable 草案》的定義相當廣濶，足以涵蓋任何性 of the Court of Final Appeal (“CFA”) to simply because the subject matter 質的爭議，不論爭議是否關乎以下事宜： grant leave to appeal to the CFA on the concerns the validity of a trade mark. 知識產權可否強制執行；侵犯知識產權； following question: The Bill has been widely welcomed by the 或知識產權的存在、有效性、擁有權、範 “May a single Justice of Appeal who intellectual property sector and is in line 圍、期限或任何其他方面。《條例草案》 refused leave to appeal to the Court of with the stated policy of the Hong Kong 亦澄清，第三方特許持有人(不論是否專用 Appeal, lawfully sit as a member of the government to develop Hong Kong as a panel if the applicant seeks to have his 特許持有人)如果不是仲裁程序的一方，不 leading centre and hub for intellectual application determined by the Court of property trading by providing an ideal 受仲裁裁決的約束。 Appeal?” platform for parties to resolve their multinational disputes with certainty. 我們可以引用有關侵犯商標權的爭議為 The CFA issued its decision on the 例，說明上文所述。被控侵犯商標權的一 question on 16 December 2016 - Phoebe Poon, Associate, Norton Rose 方，通常質疑有關商標註冊的有效性。就 considering the proper construction of Fulbright 仲裁來說，如果仲裁員決定商標註冊無 the relevant provisions in the High Court Ordinance (Cap. 4) and the Criminal 效，該商標會被視為在仲裁各方之間屬無 仲裁 Procedure Ordinance (Cap. 221). 效，但就第三方而言，依然具有效力。不 《2016年仲裁 (修訂)條例 過，勝方可以自設解救方法，就是要求仲 The Appellant had contended that properly construed in the context of the 裁庭向註冊商標擁有人頒下命令，指示他 草案》 Bill of Rights Ordinance (Cap. 383), the 放棄標記或將之轉讓某一方。如果敗方拒 《2016年仲裁(修訂)條例草案》2016年 determination by the Court of Appeal 絕執行命令，另一方可向法庭申請強制執 12月14日在立法會開始二讀。《條例草 of a renewed application for leave to 行仲裁裁決的許可。根據現行《條例》， 案》的主要目的有二：一、澄清關於知識 appeal after a single Justice of Appeal’s 註冊擁有人是否可以質疑知識產權爭議的 refusal of the initial application requires 產權權利(「知識產權」)的爭議可以透過 可仲裁性，對命令提出異議，一直不太確 a different decision-maker and one 仲裁解決；二、澄清強制執行涉及知識產 which does not include the same single 定。《條例草案》旨在確保，仲裁裁決不 權的仲裁判決並不違反公共政策。 Judge who refused the initial application. 會只因為標的事宜關係到商標的有效性而 The Court of Appeal reasoned that if 仲裁越來越多被用作為解決知識產權爭議 不被強制執行。 a single Justice of Appeal who heard 的方法。這種方法相較傳統的法律程序有 《條例草案》廣受知識產權領域人士的歡 the leave application were to sit on the 更大「彈性」。舉例說，在多個司法管轄 Court of Appeal hearing the renewed 迎，並且為各方人士提供可確切地解決跨 區享有權利的爭議各方，可以讓爭議在單 application, a fair-minded observer would 國爭議的理想平台，符合香港政府一項已 一程序中得到裁斷，避免不同程序產生分 perceive that he was not independent 公布的政策，就是發展香港為知識產權貿 歧結果。有關程序和仲裁裁決一直保密， and impartial. In this particular case, 易的中心樞紐。 但對爭議各方具有約束力。各方可選擇他 the Court of Appeal found that since the single Justice of Appeal had in fact sat 們喜歡的專家擔任仲裁員。 - 潘善深助理律師， on the Court of Appeal hearing, this gave 雖然有上述好處，但知識產權的爭議可否 諾頓羅氏富布萊特香港 rise to the appearance of bias so that the judgment of the Court of Appeal refusing leave to appeal against conviction and sentence and the order for loss of time made by it should be set aside. In dismissing the Appeal, the CFA, adopting a purposive construction, held that a renewed application is not an appeal from the single Judge’s decision

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but instead a further hearing of the same 刑事法 真有可能存有偏頗。按照因偏頗而喪失資 application which will lead to a final 格的規則行事，方可確保審議庭獨立和無 determination. This statutory process HKSAR v MD Emran 私。 provided a genuine power of review, Hussain：上訴法庭法官應在 since the single Judge may change his 甚麼時候以上訴法庭法官身 終審法院解釋，就上訴許可或保釋申請等 mind upon the rehearing. The full Court 分進行聆訊？(更新篇) 議題一般所重新作出的司法考慮而言，觀 of Appeal benefited from the single 察者不會認為法庭真有可能存有偏頗，因 Judge’s reasons for provisionally refusing 我們在2016年9月報道過，終審法院上訴 為他知道法官的素質、司法程序的主要特 the initial application. The other two 委員會決定基於以下議題給予上訴許可： 徵、以及法官普遍嘗試實踐的司法誓言。 members also formed a majority which 他期望曾拒絕許可申請的單一名法官在處 could overrule the single Judge. 「要是申請人要求由上訴法庭裁定他 的申請，單一的上訴法庭法官，拒絕 理重新提出的申請時持有開放態度，並考 The CFA stated that all Judges are 慮上訴人向合議庭提出的論點及其司法同 subject to the rules of disqualification 許可申請人向上訴法庭提出上訴的， for actual or apparent bias. The latter 可以合法地以委員會成員的身分進行 僚的商議。 depends on whether a fair-minded and 聆訊嗎？」 雖然表面的偏頗可視乎個別案件的特殊情 informed observer would conclude 況而出現，但終審法院裁定，在這宗案件 that there was a real possibility that 終審法院考慮了對《高等法院條例》(第 的情況中，公正而有見識的觀察者不會認 the tribunal was biased. It is by the 4章)和《刑事訴訟程序條例》(第221章) application of the rules concerning 相關條文的正確解釋，就上述議題作出決 為單一名上訴法庭法官在上訴法庭聆訊重 disqualification for bias that the existence 定，2016年12月16日頒布判案書。 新提出的許可申請時具偏頗的風險。 of an independent and impartial tribunal is ensured. 上訴人辯稱，正確地以《香港人權法案條 - 麥樂賢周綽瑩司徒悅律師行 例》(第383章)為背景去理解，最初被單 The CFA explained that in the ordinary 一名上訴法庭法官拒絕，但之後重新向上 judicial reconsideration of an issue such as leave to appeal or a bail application, 訴法庭提出的上訴許可申請，必須由不同 GC AGENDA the observer would not consider there to 決策者作決定，決策者不會包括該名最初 SAIC Fines Tetra Pak for be a real possibility of bias. He is aware 拒絕申請的單一名法官。上訴法庭推斷， Abuse of Dominant Market of the qualities of a Judge, the essential 如果那名聆訊過許可申請的單一名上訴法 characteristics of the judicial process, and Position 庭法官在上訴法庭處理重新提出的申請， the judicial oath which judges generally 公正的觀察者會認為他不是獨立無私的法 On 16 November 2016, the State try to live up to. He will expect that a Administration for Industry and 官。上訴法庭在這特別的案件裁定，由於 single Judge who has previously refused Commerce (“SAIC”) announced it leave to appeal will hear the renewed 該單一名上訴法庭法官事實上曾經在上 had levied a RMB 667,724,176.88 application with an open mind, and 訴法庭聆訊申請，這令人覺得他會產生偏 administrative fine against Swedish consider the arguments advanced to 頗，因此應當把上訴法庭拒絕批准上訴人 packaging company Tetra Pak the full court and the deliberation of his 就定罪和判刑提出上訴的判決作廢，並撤 International S.A. (Tetra Pak) and five judicial colleagues. 銷作出的「扣時」令。 of its Hong Kong and China-registered Although apparent bias might arise subsidiaries for abuse of its dominant in an individual case depending on its 駁回上訴時，終審法院採用按照法例目的 market position in the liquid food paper- particular circumstances, the CFA held 所作出的解釋，裁定重新提出的申請並非 based aseptic packaging materials, that in the circumstances of the present 針對單一名法官的決定所提出的上訴，而 packaging equipment and technical services markets. case, the fair-minded and informed 是同一申請的進一步聆訊，此聆訊將帶來 observer would not think there was any 最終裁決。這項法定程序提供了一項真正 The SAIC is China’s enforcement authority risk that the Single Justice of Appeal had for non-price-related anti-competitive 的覆核權，因為該單一名法官可在重新聆 been biased when he sat on the Court of behaviour under the Anti-monopoly Law 訊中改變主意。上訴合議庭可從該單一名 Appeal hearing the renewed application of the People’s Republic of China 2007 for leave. 法官最初拒絕有關申請的臨時理由中獲得 (“2007 Anti-monopoly Law”). 幫助。合議庭另外兩名成員亦能以大比數 According to Art. 17 of the 2007 Anti- - Morley Chow Seto 推翻該單一名法官的決定。 monopoly Law, the term “dominant 終審法院指出，所有法官均受制於因實際 market position” refers to a market position held by undertakings capable 或表面的偏頗而喪失資格的規則。後者取 of controlling commodities’ prices or 決於公正而有見識的觀察者會否斷定法庭 quantities or other transaction terms in a

50 www.hk-lawyer.org February 2017 • INDUSTRY INSIGHTS 業 界 透 視

relevant market, or preventing or exerting of the relevant market when analysing 在中國大陸液體食品紙基無菌包裝材料市 an influence on the access of other Tetra Pak’s rebate schemes. Second, 場、紙基無菌包裝設備市場、紙基無菌包 undertakings to the market. the decision provides guidance on the 裝設備的技術服務市場的支配地位，向利 methods for calculating fines. The fine Article 17 enumerates six specific types 樂罰款人民幣667,724,176.88元。 imposed amounted to 7 percent of Tetra of conduct which constitute an abuse of Pak’s sales revenue in mainland China a dominant market position, as well as a 工商總局是中國的反壟斷執法機構，在中 (the 'relevant market'), which is consistent “catch-all” clause for conduct identified 國根據2007年《中華人民共和國反壟斷 with the approach adopted by the NDRC. by an enforcement authority as an abuse 法》(「《2007年反壟斷法》」)執法禁止 Third, the SAIC clarified the meaning of of a dominant market position. 'preceding year'. The fine was calculated 與價格無關的反競爭行為。 According to the announcement, the based on the revenue in 2011, which was 按照《2007年反壟斷法》第十七條，「 SAIC held that Tetra Pak had violated the year preceding the initiation of the 市場支配地位」指經營者在相關市場內具 Art. 17 by: investigation.” 有能夠控制商品價格、數量或者其他交易 • Restricting its raw materials Action Items suppliers from providing paper to its 條件，或者能夠阻礙、影響其他經營者進 General Counsel for companies that competitors. 入相關市場能力的市場地位。 could be deemed to hold a dominant • Tying sales of packaging materials to market position in China should review 第十七條具體列舉六種構成濫用市場支配 the provision of packaging equipment client sales and licensing agreements 地位的行為，還有「無所不包」的一項， and technical services. and other arrangements in view of their 把執法機構認定的濫用市場支配地位的行 • Providing cumulative sales volume actual or potential impact on competition 為統統包括在內。 discounts, personalised purchase through provisions such as loyalty volume discounts and other loyalty discounts or restrictions on suppliers 按照公告內容，工商總局認為利樂作出下 discount schemes. dealing with the client’s competitors. 列事宜，違反了第十七條： According to commentators, this marks In certain cases, counsel may wish to the first penalty imposed by the SAIC for seek specialist advice or recommend • 妨礙原料紙供應商向其競爭對手提供 abuse of a dominant market position, discussing concerns directly with the SAIC 原料紙。 and the other competition regulators to as well as the first case involving loyalty • 在提供設備和技術服務過程中搭售包 discounts under the 2007 Anti-monopoly gain an increased level of certainty into 材。 Law. the regulators’ interpretations of these arrangements and of the company’s • 提供累計銷量折扣和個性化採購量目 Market Reaction justifications for their potentially anti- 標折扣，以及其他忠誠折扣。 Bai Yong, Counsel, Clifford Chance, competitive conduct. Beijing 有評論員認為，除了是第一宗根據 - Practical Law China 《2007年反壟斷法》而涉及忠誠折扣的 “Several aspects of the decision are 案件之外，這宗也是工商總局第一次向濫 worth noting. First, as loyalty rebates is 法律顧問備忘錄 not listed as a specific type of abusive 用市場支配地位者施罰的案件。 conduct under the 2007 Anti-monopoly 工商總局對濫用市場支配地 市場回應 Law, this is the first time the SAIC referred 位的利樂處以罰款 to the “catch-all” clause under Art. 17 柏勇資深顧問律師，高偉紳律師事務所 of the 2007 Anti-monopoly Law. The 2016年11月16日，國家工商行政管理總 北京辦事處 analysis generally mirrors international 局(「工商總局」)宣布行政處罰瑞典包裝 「工商總局的決定有幾方面值得留意。首 practice, though the SAIC’s approach 公司利樂國際股份有限公司、該公司旗下 is different in that it focused on the 先，由於忠誠折扣不是《2007年反壟斷 五家在香港或中國大陸註冊的附屬公司(統 specific characteristics and conditions 法》具體列明的濫用行為之一，這次是工 稱「利樂」)。工商總局因為利樂濫用其 商總局首次以《2007年反壟斷法》第十 七條「無所不包」的第七項提出檢控。 分析一般映照國際的做法，不過工商總局 分析利樂的折扣計劃時，把焦點放到相關 市場的具體特點和情況之上，方法並不相 同。其次，工商總會的決定就計算罰款 的方法提供了指引。利樂被罰的金額相等 於其在中國內地(「相關市場」)銷售收益

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的7%，符合國家發改委採用的方法。第 Security Law of the People’s Republic of holds true for counsel for beneficiaries 三，工商總局釐清『上一年度』的意思。 China 1995 (“1995 Security Law”). of independent guarantees, as well as any potential party to a dispute involving 罰款是按照2011年的收益計算，2011年 Unlike general guarantees and joint independent guarantees. Counsel 是展開調查之前的一年。 liability guarantees, an independent interested in exploring the financing guarantee is not ancillary to an options and related protections available 跟進事項 underlying contract and the guarantor’s under Chinese law will also want to obligation is not secondary to the 客戶銷售及特許協議和其他安排透過條 consider the impact of the provisions. obligation of the primary obligor. As a 文，例如忠誠折扣、向供應商施加與客戶 result, an independent guarantee is not 競爭對手進行交易的限制，對競爭造成實 - Practical Law China subject to the claims and defences of the 在的或潛在的影響，有鑒於此，公司的 underlying transaction. 法律顧問備忘錄 法律顧問，如果其公司是可以被視為具有 Instead, the obligor of an independent 市場支配地位的，應當檢視有關協議和安 guarantee generally is required to honour 最高院發布關於獨立保函糾 排。在某些情況下，法律顧問可能希望 the beneficiary’s demand for payment 紛的司法解釋 尋求專家的意見，或建議直接與工商總局 where the documents presented conform 2016年11月18日，最高院發布《關於審 及其他監管競爭情況的機構討論關注的問 to the documents specified in the guarantee, except where an enumerated 理獨立保函糾紛案件若干問題的規定》 題，更深入確定監管機構對這些安排的解 instance of fraud occurs. 釋，以及公司潛在反競爭行為的理由。 (「《規定》」)，認可中國各銀行及跨境 The provisions also permit an obligor 商業交易漸多使用獨立保函的情況。《規 - Practical Law China to apply for interim relief against a 定》自2016年12月1日起施行。 payment demand upon the occurrence of any enumerated instance of fraud, 按照《規定》，獨立保函(亦稱為見索即付 GC AGENDA but require the applicant to file a 保函)指銀行或非銀行金融機構作為開立 lawsuit or arbitration action to prove the 人，以書面形式向受益人出具的，同意在 SPC Issues Judicial fraud within 30 days of issuance of the 受益人請求付款並提交符合保函要求的單 preliminary injunction. Interpretation on Disputes 據時，向其支付特定款項或在保函最高金 Involving Independent Market Reaction 額內付款的承諾。 Guarantees Jianwei (Jerry) Fang, Partner, Zhong 《規定》適用於國內的及跨境的獨立保 Lun Law Firm, Shanghai On 18 November 2016, the SPC issued 函，訂明獨立保函有別於一般保證和連 the Provisions on Certain Issues involving “The provisions are widely applauded 帶保證；規管一般保證和連帶保證的是 Trials of Independent Guarantee by practitioners and are expected to Disputes, which took effect 1 December have a huge and positive impact on 1995年《中華人民共和國國家安全法》 2016, to acknowledge the increasing cases involving independent guarantees, (《1995年國家安全法》)。 use of these guarantees by Chinese which have been controversial due to 與一般保證和連帶保證不一樣，獨立保函 banks and in cross-border commercial certain provisions in the 1995 Security transactions. Law. The provisions acknowledge and 不從屬於相關合約，開立人的責任 According to the provisions, an respect common business practices, 次於主要義務人的責任。因此，獨立保函 as independent guarantees have been independent guarantee (also known as 並不以相關交易的申索和抗辯為前提。 a demand guarantee) refers to a written widely used in domestic and cross-border commitment by a bank or non-bank transactions in recent years. They will also 一般而言，獨立保函的義務人需要在受益 financial institution acting as guarantor increase the credibility and acceptance 人請求付款並提交符合保函要求的單據 of independent guarantees issued by to pay a specified or capped amount to a 時，兌現付款承諾，但若出現《規定》所 Chinese financial institutions in cross beneficiary on the strength of a demand 列舉的欺詐情況則屬例外。 for payment and documentation that border transactions, facilitating the satisfies the requirements specified in the efforts of Chinese enterprises to expand 《規定》亦准許義務人在出現《規定》內 abroad.” guarantee. 列舉的欺詐情況的時候，臨時向人民法院 The provisions apply to domestic and Action Items 申請中止支付獨立保函項下的款項，不過 cross-border independent guarantees General Counsel for financial institutions 申請人必須在止付裁定作出後三十日內 and distinguish independent guarantees should closely study the rights and 提起訴訟或申請仲裁，證明出現了欺詐情 from general guarantees and joint liability obligations of guarantors under 況。 guarantees, which are governed by the independent guarantees. This also

52 www.hk-lawyer.org February 2017 • INDUSTRY INSIGHTS 業 界 透 視

市場回應 Management Services Authority affected and the certificate will constitute 方建偉合夥人，中倫律師事務所上海辦 (“Authority”) will be established. The a legal charge on the property. Authority is empowered to issue property 公室 On the collection of levies, the management services licences to Government intends to seek the co- licensees, prescribe codes of conduct for 「由於《1995年國家安全法》的某些規 operation of the solicitors’ firms which the licensees, institute investigations and 定，獨立保函一直以來備受爭議。《規 act in a conveyancing transaction. The disciplinary proceedings on complaints 定》廣受法律界從業員歡迎，贏得不少掌 solicitors firms are requested to collect filed against the licensees. 聲，預料會為涉及獨立保函的案件帶來極 the levy from the purchaser/transferee The Authority is a self-financing statutory client and submit the sum to the Stamp 大的積極影響。由於獨立保函近年廣泛用 authority. Its income shall be generated Office. 於國內交易和跨境交易，《規定》認可並 from two sources – fixed levy from the Back to the time when the Ordinance 尊重這種普遍的營商方法，亦加強中國金 general public and the licence fees to be was still a Bill, the Property Committee 融機構在跨境交易出具的獨立保函的可信 collected from the licensees. It is different of the Law Society had protested from the Estate Agents Authority, which 性和接受性，對於努力向海外擴張的中國 strongly against the proposal of levy is also a statutory licensing and self- 企業是件好事。 (including the nature, concept and the financing body with licence fees as the payment mechanism). It had made a major source of income (amounting to 跟進事項 formal submission to the relevant Bills approximately HK$75 million for the year 金融機構的法律顧問應當細心研究開立人 Committee of the Legislative Council in ended 31 March 2016). 在獨立保函項下的權利和責任。獨立保函 August 2014. Regrettably, those views The Ordinance provides a mechanism for were not taken by the Legislative Council 受益人的法律顧問，以及獨立保函糾紛的 collecting the above levy. Under Part 8 when it examined the Bill. 潛在方亦應當如此。對中國法律下可選的 of the Ordinance, the Collector of Stamp In essence, the Property Committee was 融資選擇及相關保護感興趣的法律顧問， Revenue will collect a levy on behalf of of the view that:- 也定必想仔細思量《規定》的影響。 the Authority on any conveyance on sale or any instrument chargeable with stamp 1. Based on the “users pay” principle, the - Practical Law China duty under head 1(1) in the First Schedule funding of the Authority should come to the Stamp Duty Ordinance (Cap. 117), from the licence fees (as in the case of when the conveyance on sale is submitted Estate Agents Authority). LAND LAW to the Inland Revenue Department for 2. Some buildings in Hong Kong (for stamping. A transferee under a leviable example, those old Chinese buildings Levy Requirement under instrument under s. 54 of the Ordinance and village type houses) have no the Property Management is liable to pay the levy within 30 days building managers. It is unfair for Services Ordinance after the instrument is executed. purchasers of those properties to pay (Cap. 626) If the transferee fails to pay the levy, the levies when they will not benefit the Authority may impose a penalty from the licensing regime. The Property Management Services and issue a certificate to be served on 3. Inequity arises when some Ordinance (Cap. 626) (“Ordinance”) the transferee. Pursuant to s. 59 of the purchasers acquire their properties was enacted in October 2016. The Ordinance, the Authority may register the not by conventional conveyancing Ordinance aims to promote the integrity certificate in the Land Registry and on transactions, but through acquisition and standard of property management registration of the certificate, the levy and of shares of companies which own services, by providing for licensing of penalty are recoverable from a person the landed properties. Transfer of companies and individual practitioners who from the Land Registry register shares in the above circumstances is who are engaged in property appears to be the owner of the property not subject to levies, and thus those management services. “Property Management Services” are defined in Schedule 1 of the Ordinance to include (1) general property and facility management service and (2) administrative aspects of property management service such as finance and asset management, human resources management and legal services relating to management of a property. Under the Ordinance, a Property

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purchasers could, in a legitimate (2)物業管理服務的行政方面，如關乎物業 和村屋)並無建築物管理人。這些物業 manner, avoid payment of the levies. 的財務及資產管理、人力資源管理和法律 的購買人將不能受惠於發牌制度，但 4. Although the Government stressed 服務。 仍須繳付徵款， 做法不公平。 that the amount will only be a few 根據《條例》，將成立物業管理業監管局 3. 當購買人並非通過傳統的業權轉易交 hundred dollars upon the launch of 易，而是通過收購擁有土地物業的公 the scheme, the payment mechanism (下稱「監管局」)，監管局有權向持牌人 and the issuance and registration 發出物業管理服務牌照、向持牌人發出操 司的股份來獲取物業，就會出現不公 of the non-payment certificate 守守則、就對持牌人的投訴進行調查和紀 平的情況。上述情況的股份轉讓無須 necessarily complicate the title 律處分程序。 徵款，購買人因而可以合法方式避免 checking process of a property. This is 繳付徵款。 because, apart from checking for other 監管局為自負盈虧的法定機構，其收入來 4. 雖然政府強調，計劃推出後金額只會 existing encumbrances, solicitors 源有二：來自公眾的固定徵款和向持牌人 are duty-bound to make enquiries to 收取的牌照費。這方面與地產代理監管局 是數百元，但繳款機制及欠款證明書 ensure that the levy has been paid by 不同，後者亦為自負盈虧的法定機構，其 的發出和註冊，必然會使查核業權的 the current owner and the purchaser 主要收入來源為牌照費(截至2016年3月 程序更複雜，因為除了查核其他現有 of the immediate transaction (if 31日的財政年度約為7,500萬港元)。 的產權負擔外，律師還有責任查核確 solicitors are acting for the mortgagee 保現任業主和最近交易的購買人已繳 bank). 《條例》訂明了收取上述徵款的機制。根 付徵款(如律師代表承按銀行)。 The Property Committee considered that 據《條例》第8部，印花稅署署長將向任 物業委員會認為，向物業轉易交易徵款作 the imposition of levy on conveyancing 何售賣轉易契或根據《印花稅條例》(第 transaction as part of the funding for 為物業管理業監管局經費的一部份，原則 117章)附表1第1(1)類可予徵收印花稅的 the Property Management Services 上是錯誤的，因為轉易交易與物業管理的 文書，在售賣轉易契提交稅務局加蓋印花 Authority is wrong in principle, as 質素並無直接關係。畢竟，《條例》只是 there is no direct linkage between 時，代監管局收取徵款。《條例》第54條 處理香港不同類型樓宇複雜物業管理問題 conveyancing transactions and quality 訂明，承讓人有法律責任在有關文書簽立 的方法之一。為了改善本港大廈管理的 of property management. After all, the 後的30日內繳付徵款。 Ordinance is only one of the many ways 標準和水平，政府應全面負責監管大廈管 to try to address the intricate property 若承讓人未有繳付徵款，監管局可向承讓 理專業人員，並在過程中向《條例》下的 management issues in different types 人施加罰款及發出證明書。根據《條例》 發牌制度提供足夠的財政及其他方面的資 of buildings in Hong Kong. In order to 第59條，監管局可將有關證明書在土地註 源。 improve the standards and levels of 冊處註冊，證明書一經註冊，有關徵款及 building management in Hong Kong, the - 江玉歡律師，物業委員會成員 罰款可向在土地註冊處登記冊中看似是有 Government should take up the overall responsibility in supervising the building 關處所或土地的擁有人的人追討，並構成 對有關物業的法定押記。 management professionals, and in the REGULATORY process commit adequate resources, 在收取徵款方面，政府打算尋求經辦售賣 financially and otherwise, to the licensing 轉易契的律師行合作。律師行須向購買 SFC FAQs on Suitability regime under the Ordinance. 人／承讓人客戶收取徵款，並將該筆款項 Obligations - Doreen Kong, member of the Property 提交印花稅署。 On the back of the SFC’s guidance by Committee way of responses to FAQs regarding the 當條例草案尚未通過時，律師會物業委員 application of the new “suitability clause” 土地法 會曾強烈反對徵款建議(包括其性質、概念 in client agreements between financial 及付款機制)，並曾於2014年8月向立法會 《物業管理服務條例》(第626 intermediaries and their clients (Industry 有關條例草案委員會提交正式意見書。遺 Insights, December 2016), comes another 章)下的徵款要求 憾地，立法會在審議條例草案時並未採納 set of responses to FAQs; this time, further guidance on the “suitability 《物業管理服務條例》(第626章)(下稱 這些意見。 obligations” for licensed or registered 《條例》)由2016年10月起實施。《條 基本上，物業委員會認為： persons pursuant to para. 5.2 of the 例》旨在透過發牌照予經營提供物業管理 1. 根據「用者自付」原則，監管局的經 SFC’s Code of Conduct. 服務業務的公司和個人，推動物業管理服 費應來自牌照費用(一如地產代理監管 The “suitability clause” (or term) and the 務業行事持正，提升標準。「物業管理服 局)。 “suitability obligations” are different but 務」的定義在《條例》的附表1訂明，包 related concepts. It is helpful to think of 2. 在香港，一些建築物(例如，那些唐樓 括(1)關乎物業和設施的一般管理服務及 them both as (among other things) the

54 www.hk-lawyer.org February 2017 • INDUSTRY INSIGHTS 業 界 透 視

SFC’s two-pronged attempt to ensure the suitability of recommendations given by financial intermediaries to their clients. “Suitability” in this context goes to the heart of the SFC’s approach to investor protection. The “suitability obligations” denote a well-known regulatory standard to ensure that a recommendation (or solicitation) to a client is reasonable in all the circumstances.

The new “suitability clause” (with its 監管 限制金融中介人(及其代表)以合約規定為 inbuilt non-derogation provision – a 依據，堅持是在「只限執行」的基礎上行 new para. 6.2(i) of the Code of Conduct) 證監會有關提供合理適當建 will come into effect this summer 事，即使他們是向投資客戶提供財務意見 (9 June 2017) and seeks to enhance 議的責任的《常見問題》 亦然。 investor protection by way of contractual 證監會回應《常見問題》，藉此就新的 證監會的最新指引在「平安夜」前一天發 provision. Such a clause will help limit 「合適性規定條款」在金融中介人客戶協 the ability of financial intermediaries 出，分為兩個部分，詳細答覆與甚麼事情 (and their representatives) to rely on 議的應用提供指引(2016年12月《業界透 會觸發為客戶提供合理適當建議的責任 contractual provisions to maintain that 視》)，過後不久，證監會再回應另一些 (「有關觸發為客戶提供合理適當建議的責 they are acting on an “execution-only” 《常見問題》，以證監會《操守準則》 任的《常見問題》」)及金融中介人應當怎 basis even though financial advice is 第 5.2 段為依據，進一步為持牌人或註冊 樣遵守這些責任(有關持牌人或註冊人遵守 provided to an investor client. 人提供與「為客戶提供合理適當建議的責 為客戶提供合理適當建議的責任的《常見 The SFC’s most recent guidance came 任」有關的指引。 問題》)有關的常見問題。 just before “Christmas Eve”, in the form of two sets of detailed responses to FAQs 「合適性規定條款」和「為客戶提供合理 對於為金融中介人及其內部合規及監管團 concerning what triggers the suitability 適當建議的責任」涉及兩套不同但又互有 隊工作的人士，以及向受屈投資者提供意 obligations (“FAQs on Triggering of 關連的概念。我們不妨把兩者想像為(其中 見的人士來說，兩套《常見問題》是必讀 Suitability Obligations”) and how financial 包括)證監會雙管齊下，確保金融中介人給 材料，務必要仔細閱讀，留心細節；例 intermediaries should comply with these 予客戶合理適當的建議。這方面的「合適 obligations (“FAQs on Compliance with 如，要細讀的不只是《常見問題》提供的 性」切合證監會保護投資者的方法重點。 Suitability Obligations”). 指引和說明中，關於有否觸發和何時觸發 為客戶提供合理適當建議責任的詳情，還 Both sets of FAQs are required reading for 「為客戶提供合理適當建議的責任」說明 those working for financial intermediaries 了眾所周知的監管標準，以確保持牌人或 有《操守準則》及相關指引所載詳盡的標 and their in-house compliance and 註冊人向客戶作出的建議(或招攬行為)， 準和相關規定*。 regulatory teams and for those advising 在所有情況下都是合理的。 aggrieved investors. As is often the case, - 莊啟禮合夥人， it is important to pay attention to the 新的「合適性規定條款」(及其內設的非減 Smyth & Co與RPC聯營 detail; for example, not just the detail in 損規定 –《操守準則》新增的第6.2(i)段) the guidance and the illustrations of the 將在今夏(2017年6月9日)生效，目的是藉 * 例如「適用於證券及期貨事務監察委員會持牌 FAQs concerning whether and when the 人或註冊人的管理、監督及內部監控指引」(稱 合約規定加強保護投資者。這條條款有助 suitability obligations are triggered but 為「內部監控指引」)。 also the detailed standards and relevant Feel free to write in to us with more short contributions on latest industry developments requirements set out in the Code of and trends. Simply contact the editor at: [email protected] Conduct and related guidelines*. 本刊歡迎各位提交短篇文章，廣大讀者分享業界的最新發展和動態。請與本刊編輯聯絡。 - Jonathan Cary, Partner, Smyth & Co in 電郵：[email protected] association with RPC The information provided here is intended to give general information only. It is not a complete statement * For example, the “Management, Supervision of the law. It is not intended to be relied upon or to be a substitute for legal advice in relation to particular and Internal Control Guidelines for Persons circumstances. Licensed by or Registered with the Securities and Futures Commission” (known as the 本欄所提供的資訊僅屬一般資訊，並不構成相關法律的完整陳述，亦不應被依賴為任何個案 “Internal Control Guidelines”). 中的法律意見或被視作取代法律意見。

www.hk-lawyer.org 55 • February 2017 CASES IN BRIEF 案 例 撮 要

CIVIL PROCEDURE it was not unreasonable for X to seek at 額」)，應付金額包括法庭命令歸於訟案 least a breakdown of the amount. There 中的訟費，但不包括之前預留的或個別 Cheung Hing v Wah Fung Forest was no law or rule of practice which 地命令支付的某一方的訟費。介入人針 Resources Ltd [2016] HKEC 2657 precluded the Court from indicating 對訟費評定申請上訴許可，理由是法庭 Court of First Instance how the global sum was calculated. Order 42 r. 5B(1) did not appear to deal 沒有發表任何理由。《高等法院規則》 Miscellaneous Proceedings No. 2433 with a procedure such as a summary (第4A章)第42號命令第5B(1)條規則規 of 2012 assessment of costs on paper nor Godfrey Lam J in Chambers 定：「法庭須在宣告判決或命令時，就 expressly prevent the court from giving 任何有關決定發表其理由；或如當時法 7 December 2016 reasons later where it had not done so when giving judgment and had not 庭宣布將於較後日期發表其理由，則須 Costs – gross sum assessment stated it would do so at a subsequent 在所編定的較後日期發表其理由。」 date. – reasons for assessment – 裁決 –發表計算應付金額的明細： although no general duty to give • In an appropriate case, the Court of First reasons for costs orders, court Instance had an inherent jurisdiction • 法庭並無一般責任就訟費令發表理 could in appropriate case explain to provide additional reasons for its 由。但由於在這宗案件，應付金額是 judgment, although this was not a assessment by giving breakdown 經過多個步驟計算得出並由多項元素 course to be frequently adopted. – did not involve court acting 組成，對於介入人來說，要求至少得 when functus officio • The Court was not proposing to revisit the judgment or order, which had been 到金額的明細並非不合理。沒有法律 The Judge ordered the intervener drawn up and sealed, by amending, 或實務規則阻止高等法院列明計算總 (“X”) to pay 80 percent of P’s costs varying or supplementing it, but to make 額的方法。第42號命令第5B(1)條規 manifest the breakdown of the Sum. to be assessed on a gross sum basis 則似乎沒有處理以審閱文件方式進行 and subsequently, on paper, assessed This did not involve the Court acting the costs payable (the “Sum”), which when functus officio. 的程序，例如經簡易程序評定訟費； included costs ordered to be in the 也沒有明確禁止在宣告判決時沒有發 cause but not costs previously reserved 民事訴訟程序 表理由，也沒有表明會在較後日期發 or separately ordered in favour of a 表理由的法庭，在較後時間發表理 specific party. X applied for leave to Cheung Hing v Wah Fung Forest 由。 appeal against the assessment of costs Resources Ltd [2016] HKEC 2657 on the ground that no reasons were 原訟法庭 • 在一宗合適的案例中，原訟法庭有 given. Order 42 r. 5B(1) of the The Rules 固有司法管轄權就其判決提供額外理 of the High Court (Cap. 4A) provides 高院雜項案件2012年第2433號 由，不過這不是常見的做法。 that “A Court shall give the reasons 原訟法庭法官林雲浩內庭聆訊 for any decision either at the time the 2016年12月7日 • 法官不建議藉修訂、更改或補充， judgment or order is pronounced or, 重新考慮已經擬備並蓋印的判決書或 where it is at that time announced that 命令，但建議清楚列明應付金額的明 the reasons will be given at a later date, 訟費 — 總額的評定 — 評定理由 — at such later date as may be fixed.” 雖然無一般責任給予理由解釋訟費 細。這不需要法庭在權責已完之後行 事。 Held, giving a breakdown of the Sum, 令，但法庭可以在合適情況列出明 that: 細以解釋訟費評定 — 不需要法庭在 • The court had no general duty to 權責已完之後行事 give reasons in relation to costs 法官命令介入人支付原告人訟費的80%， orders. However here, since the Sum covered a number of steps and was 金額將以總額為基礎予以評定，其後，法官 constituted by various components, 以審閱文件的方式評定應付訟費(「應付金

56 www.hk-lawyer.org February 2017 • CASES IN BRIEF 案 例 撮 要

CIVIL PROCEDURE characteristic of persons suffering 使用或建議使用「無創性胎兒染色體篩 irreparable damage. There was 查」(NIPT)。第二原告人2014年在香 Xcelom Ltd v BGI-Hongkong Co Ltd clear evidence of lack of irreparable 港獲批NIPT專利，是該專利的註冊所有 damage. Absent irreparable damage, (No. 1) [2016] HKEC 2061 人。第二原告人2014年7月授予第一原 that was normally fatal to Ps’ Court of First Instance 告人在香港獨家開發NIPT專利及相關技 application. High Court Action No. 3089 of 2015 術的許可。第二被告人在香港提供名為 • The strength of the plaintiff’s case Deputy Judge Kenneth Kwok SC in was not relevant at this stage beyond 「NIFTY」的無創性產前檢測服務，所得 Chambers whether there was a serious issue 結果與原告人1–2的NIPT技術所得的結 22 September 2016 to be tried. It was no part of the 果完全一樣。2015年1月17及18日，被 court’s function at the interlocutory 告人1–2在某個有很多產科和婦科醫生 Injunctions – interlocutory stage to try to resolve conflicts of 出席的研討會上派發單張，宣傳NIFTY檢 injunction – infringement of evidence on affidavit as to facts on 測。2015年1、2月左右，被告人1–2 biotechnology-related patent – which the claims of either party might whether plaintiff would suffer ultimately depend, nor to decide 向多名私家醫生和多間醫院提供NIFTY檢 serious and irreparable damage difficult questions of law which called 測。被告人1–2在2015年不同時間繼續 if injunction not granted – for detailed argument and mature 宣傳活動和檢測服務。 inordinate delay considerations, which were matters to be dealt with at the trial. 裁決 – 駁回原告人1–2的強制令申請： P1–2 issued a writ on 28 December • 原告人1–2拖了很長時間，過了11 2015 together with a summons for an injunction which sought to restrain D1–2 民事訴訟程序 個多月才針對被告人1–2展開法律 程序。原告人1–2沒有解釋拖延的原 from using or offering for use in Hong Xcelom Ltd v BGI-Hongkong Co Ltd Kong a non-invasive prenatal test for 因。原告人1–2沒有盡其所能，立即 (No. 1) [2016] HKEC 2061 screening chromosomal aneuploidies. P2 申請強制令，反而花了近一年時間提 was the registered proprietor of the NIPT 原訟法庭 起法律程序，這不會是蒙受損害且損 Patent granted in Hong Kong in 2014. 高院民事訴訟案2015年第3089號 害無法彌補的人的特有做法。有明顯 P2 granted to P1 an exclusive licence 暫委法官郭慶偉內庭聆訊 to exploit the NIPT Patent and related 證據證明原告人1–2沒有無法彌補的 2016年9月22日 technology in Hong Kong in July 2014. D2 損害。欠缺無法彌補的損害通常會對 provided non-invasive prenatal testing 原告人1–2的申請產生致命的後果。 services in Hong Kong under the name 強制令 — 非正審強制令 — 侵犯 • 除了關乎有否重大爭議有待審理之 of “NIFTY” which could achieve results 生物技術專利 — 要是不批出強制 identical to P1–2’s NIPT technology. On 令，原告人會否蒙受嚴重並無法 外，原告人1–2案情的強弱在這階段 17 and 18 January 2015, D1–2 advertised 並不相干。在非正審階段，法庭的職 彌補的損害 — 過分拖延 the NIFTY process in a promotional flyer 能不是盡力以誓章解決雙方最終所依 distributed during a conference attended 第一及第二原告人(「原告人1–2」)在 賴的證據的爭議，或決定需要經過詳 by many doctors in the field of obstetrics 2015年12月28日發出令狀，亦在同日 細辯證及周詳考慮的複雜法律問題。 and gynaecology. In or around January 發出強制令傳票，要求法庭禁制第一 and February 2015, D1–2 offered the 這些都應留待正審處理。 NIFTY process to various private doctors 及第二被告人(「被告人1–2」)在香港 and hospitals. D1–2 continued their advertising activities and test at various times in 2015. Held, dismissing Ps’ injunctive application: • The delay by P1–2 in commencing legal proceedings against D1–2 of more than 11 months was substantial. P1–2 did not explain the delay which was inordinate. Instead of moving with due diligence to seek an injunction forthwith, they took almost a year to issue proceedings which was not

www.hk-lawyer.org 57 • February 2017

CIVIL PROCEDURE 民事訴訟程序 CRIMINAL

Revelry Gains Ltd v Joy Rich Development Revelry Gains Ltd v Joy Rich HKSAR v Luk and Yu Ltd [2016] HKEC 2735 Development Ltd FACC Nos. 6, 7 and 8 2016 Court of First Instance [2016] HKEC 2735 Court of Final Appeal Miscellaneous Proceedings No. 430 of 原訟法庭 Ma CJ, Ribeiro, Tang and Fok PJs, 2013 高院雜項案件2013年第430號 Hoffman NPJ Deputy Judge Kent Yee in Chambers 8 December 2016 暫委法官余啟肇內庭聆訊 20 December 2016 2016年12月20日 Corruption and bribery Parties – intervener – application offences – meaning of “agent” for leave to intervene in action 訴訟各方 — 介入人 — 就介入訴 and “other document” for to conduct defence on behalf of 訟以代表清盤公司進行抗辯而提出 the purpose of s. 9(3) of the company in liquidation improper 的許可申請並不妥當 — 應根據第 Prevention of Bribery Ordinance – application should be made in 200(5)條在清盤程序中提出申請 – deception on company by winding-up proceedings under — 第15號命令第6條規則 不適用 sole directors of that company s. 200(5) – O. 15 r. 6 inapplicable 某公司正進行清盤，原告人針對該公司提 Company X owned Company Y, which, P brought a mortgagee action against in turn, owned Company Z. The 起按揭訴訟，以強制執行在該公司資產 C, a company in liquidation, to enforce Defendants were sole directors of 上的押記。該公司的清盤人沒有就訴訟提 a charge over C’s assets. C’s liquidators Company Y. Company A, controlled (“Ls”) did not contest the action (“Ls’ 出異議(「清盤人的決定」)。兩名女士， by Luk’s wife, purchased Company Decision”). X1–2, as creditors of C, applied 作為該公司的債權人，根據《高等法院規 Z for HK$15 million. The Defendants under O. 15, r. 6 of the Rules of the High 則》(第4A章，附屬法例)(「《規則》」) signed Board Minutes authorising the Court (Cap. 4A, Sub. Leg.) (the “RHC”) to 第15號命令第6條規則申請介入訴訟，以 transaction stating that none of the intervene to conduct the defence on C’s directors of Company Y had an interest behalf, arguing that the charge was liable 代表該公司進行抗辯，爭辯理由是該押記 in Company A. At trial, it was found to be declared void. 應被宣告無效。 that Luk was the ultimate beneficial Held, dismissing the application, that: 裁決 –駁回申請： owner of Company A, and as such the • Even if C had an arguable case for • 即使該公司有可爭辯的理據支持撤銷 transaction required disclosure and setting aside the charge, Xs should voting restrictions under the Stock 押記，該兩名女士應在清盤程序中根 apply in the winding-up proceedings Exchange Rules. It was argued that 據《公司(清盤及雜項條文)條例》(第 under s. 200(5) of the Companies the Defendants could not be agents of (Winding-up and Miscellaneous 32章)第200(5)條提出申請，以質疑清 Company X; that Board Minutes could Provisions) Ordinance (Cap. 32) either 盤人的決定或申請許可以該公司名義 not be a “document” for the purposes to impugn Ls’ Decision or to apply for 就該訴訟作抗辯。該兩名女士不是該 of s. 9(3) of the Prevention of Bribery leave to defend the action in C’s name. 訴訟的利害關係人，二人的申請極不 Ordinance (Cap. 201) (the “POBO”) Xs’ application was badly formulated 妥當。法庭單以這點就必須要駁回申 as the section should be interpreted and on this ground alone, must be 請。 eiusdem generis with the rest of s. 9(3) dismissed. and thereby confined to documents • Further, this was not an ordinary • 此外，這不是一般加入訴訟的申請。 such as receipts and accounts, the joinder application. Order 15, r. 6 of the 清盤人已經決定不就該訴訟作抗辯， genus being “financial documents”; RHC did not apply where, as here, a 但一方希望介入以代表清盤公司就該 and that the directors of Company Y party wished to intervene and defend 訴訟作抗辯(就如這宗案一樣)，在這情 could not deceive Company Y as they the action on behalf of a company in 況下，《規則》第15號命令第6條規 were the mind and will of Company Y. liquidation when the liquidators had 則並不適用。 decided not to do so. Held, dismissing the appeal that: • A certificate of registration of a charge • 就針對公司清盤人和債權人而言，押 • To become an agent of another could only be conclusive proof as to the 記登記證明書只會是登記規定方面的 for the purpose of s. 9(3), it was requirements relating to registration, 決定性證據，並不證明押記本身的有 not necessary to have some but not the validity of the charge itself 效性。 pre-existing legal, contractual as against the liquidators or creditors of or fiduciary obligation to act in the company.

58 www.hk-lawyer.org February 2017 • CASES IN BRIEF 案 例 撮 要

relation to that person’s affairs 刑事法 裁決 –駁回上訴： or business. Luk had created a • 要成為第9(3)條所指的另一人的代理 reasonable expectation that he HKSAR v Luk and Yu 人，無須具有某些先前存在的法律、 would act in the interest of Company 終院刑事上訴案2016年第6、7及8 號 合約、受信義代表該另一人行事。 X and to the exclusion of his own interest. More specifically, he 終審法院 陸先生引起了合理的期望，即他會為 assumed a duty to act in good faith 終審法院首席法官馬道立 了公司X的利益行事，摒除自身的利 and not deceive Company X into 終審法院常任法官李義 益。更明確地說，他已承擔責任秉誠 making a false statement to the 終審法院常任法官鄧國楨 行事，不會欺騙公司X而使其向聯交 Stock Exchange about his having no 終審法院常任法官霍兆剛 所作出虛假陳述，指他在該交易中並 interest in the transaction. Therefore, 無利益關係。因此，下級法庭裁定陸 終審法院非常任法官賀輔明勳爵 the lower courts were right to hold 先生是公司X的代理人是正確的。余 that Luk was an agent of Company 2016年12月8日 女士知悉陸先生推薦公司A為買家的 X. Yu, aware of the basis upon which 根據並參與欺騙行為。 Luk had put forward Company A 貪污和賄賂罪行 — 「代理人」和 as a buyer had participated in his 「其他文件」在《防止賄賂條例》 • 董事會會議紀錄屬《條例》第9(3)條 deception. 第9(3)條的涵義 — 公司被其僅有 所指的「文件」。「文件」的涵義無 • Board Minutes were a “document” 的董事欺騙 需要局限於與收據和帳目同一類型的 for the purpose of s. 9(3) of the 文件，但必須是對主事人而言有利害 POBO. There was no need to 公司X擁有公司Y，公司Y擁有公司Z。兩名 關係和載有意圖誤導的虛假或錯誤陳 confine the meaning of “document” 被告人是公司Y僅有的兩名董事。由陸先 述的文件。 to documents of the same type as 生的妻子控制的公司A以港幣1,500萬元收 • 雖然陸先生和余女士是公司Y僅有的 receipts and accounts. However, it 購了公司Z。兩名被告人簽署一份批准該交 兩名董事，但公司Y確實可以被他們欺 must be a document in respect of 易的董事會會議紀錄，會議紀錄述明，公 騙。要構成《條例》第9(3)條下的罪 which the principal is interested and 司Y兩名董事在公司A全無權益。經審訊裁 which contains a false or erroneous 行，行騙者不必在心目中認定某特定 statement intended to mislead. 定，陸先生是公司A的最終實益擁有人，因 個人，而該個人的思想狀態可被看作 此，按照聯交所規定，該交易須予披露並 主事人的思想狀態。在這宗案件，該 • Company Y was indeed capable 受到表決限制。兩名被告人辯稱：第一， of being deceived by Luk and Yu 會議紀錄中的虛假陳述欺騙了公司X notwithstanding they were sole 兩名被告人不可能是公司X的代理人；第 某名獲授權人員，令其以為有關買家 directors. To be liable under s. 9(3) 二，董事會會議紀錄不可能是《防止賄賂 為獨立一方，因而代表公司Y簽立了售 of the POBO, the deceiver need 條例》(第201章)(「《條例》」)第9(3)條 賣協議。該人員的那些行為屬公司Y的 not have in mind the particular 所指的「文件」，因為該條的「文件」應 行為，他受騙的思想狀態可被歸屬於 person whose state of mind will 該與第9(3)條的「收據、帳目」屬同一類 公司Y。 count as that of the principal. In the 型，而「文件」是局限於收據和帳目一類 present case, the false statement 的文件，即「財務文件」；第三，公司Y兩 in the Board Minutes deceived 這個案件是由麥樂賢周綽瑩司徒悅律師行 名董事無法欺騙公司Y，因為他們是公司Y an authorised officer of Company 提供 X into thinking the buyer was an 的思想意志。 independent party and he thereby executed the sale agreement on behalf of Company Y. That was an act of Company Y and that officer’s deceived state of mind could be attributed to Company Y.

This case was prepared by Morley Chow Seto.

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CRIMINAL EVIDENCE Held, allowing the appeal by quashing number of issues and the Court, on the conviction, that: this appeal by way of rehearing, could not decide whether X’s evidence was HKSAR v Man Ho Chuen • There was no expert evidence to credible and reliable. [2016] HKEC 2115 authenticate the Photograph. Further, Court of First Instance it was a still image and not a motion • In light of the foregoing, D had not brought suspicion on himself and was Magistracy Appeal No. 462 of 2015 video recording. It would be very simple to fake or alter the photograph awarded costs of the appeal and trial. Judianna Barnes J and then upload it on Facebook. Even 14 March 2016 if the image depicted were genuine, it 刑事證據 might be inaccurate due to the angle HKSAR v Man Ho Chuen Common assault – whether from which it was taken. [2016] HKEC 2115 Magistrate erred in approach to • The Magistrate had not considered: prosecution evidence, including why, since X was assaulted for no 原訟法庭 photograph of alleged assault reason, he felt so much pain that 高院裁判法院上訴案件2015年第462號 – whether erred in approach to he was treated immediately and it 原訟法庭法官張慧玲 defence evidence continued until the next day and he knew who D was, X waited until the 2016年3月14日 D was convicted of common assault. X, Photograph surfaced before he called an Occupy Central activist, gave evidence the police; whether the photograph that after dissuading fellow supporters 普通襲擊 — 裁判官處理控方證據 was faked or altered; and that despite from rushing opponents, D, who opposed (包括一張與被指控襲擊案有關的 the presence of supporters, opponents the movement, suddenly snatched a and police, there was no independent 照片)的方法是否有錯 — 處理辯方 yellow ribbon pinned to his chest and evidence to corroborate X’s account. 證據的方法是否有錯 used two fingers to fork X’s neck causing • Based on X’s testimony, the entire pain; X stepped back and was led away; 被告人被裁定「普通襲擊」罪罪名成立。 incident should have lasted for only the incident lasted five to 10 minutes; X 佔中人士X作供指出，反對佔中的被告人 went to a first aid station where ointment one or two minutes, not five to 10 在他(指X)勸止「佔中」者衝向「反佔中」 was applied; the pain lasted for two days; minutes unless, given D’s evidence he knew of D from media reports; and that he started talking to X and 者的陣營之後，突然伸手摘下他扣在胸前 called the police that night after seeing only subsequently took action to 的黃絲帶，並用兩隻手指叉着X的頸部， on Facebook a photograph of D’s hand protect himself, X had not revealed 引致X感到疼痛；X退後，被其他人帶走； everything. If so, the Magistrate had reaching out and touching his neck (the 事件歷時5-10 分鐘；X前往救護站塗藥； “Photograph”). PW2 testified that as he failed to consider whether X had 痛楚持續了兩日；他在媒體報道見過被告 followed demonstrators, an acquaintance disclosed the whole truth. 人；X是在其後得悉在「面書」有一張顯 pointed out D and said he had assaulted • PW2 was not an eye witness and the someone and sent him the Photograph prosecution did not need to call him. 示被告人伸手觸及他頸部的照片(「該照 by WhatsApp which showed the man D was unrepresented and unaware 片」)，才決定在當晚報警。控方第二證人 whom he later asked the police to arrest that PW2’s testimony was hearsay 作證指，他跟隨遊行人士走的時候，一名 and so he did not object to it. The apparently attacking a young man. D, 他認識的人向他指出被告人，指稱被告人 acting in person, gave evidence that he Magistrate should have asked the 曾襲擊另一人，又以WhatsApp發給他一 struck up a conversation with X who was prosecution why it was adducing emotional and unexpectedly raised his such evidence to ensure that no 張照片。他指他見到照片顯示他其後要求 leg forward; he instinctively straightened hearsay was mistakenly admitted. 警方拘捕的人看來在攻擊一名年青人。無 his arm and made a fist to protect himself Notwithstanding, the Magistrate did 律師代表的被告人作供稱，他跟X搭訕， but X moved too quickly and his hand not refer to PW2 in his statement 當時情緒激動的X突然提起右腿向前；被 of findings and, as a professional touched X’s neck lightly; he then turned 告人為求自保，在自然反應下伸直右手， and lost sight of X. Despite D’s allegation magistrate, he did not erroneously rely 並將手掌五指緊合，但X的動作太快，被 that the Photograph was altered, the on his evidence. 告人的右手輕輕觸及X的頸部；被告人轉 Magistrate admitted it in evidence. • This was a “one against one” case. If However, he stated that he disregarded it D’s evidence was or might be true, the 頭望時，已經不見X的蹤影。雖然被告人 “for the time being” but “if necessary” he prosecution failed to prove its case. 指該照片曾被改動，但裁判官接納該照片 found it truly depicted the situation and Even if the Magistrate rejected D’s 為證據。但裁判官指他「暫且撇開」該照 supported X’s evidence and gave “full evidence, he had to be sure that the 片，不過「若有需要的話」，會認為該照 weight” to it. The Magistrate rejected D’s charge was proven. The Magistrate 片真實反映案發現場情況，支持印證X的 evidence. D appealed against conviction. had not given due consideration to a

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證供，給予該照片「足額比重」。裁判官 CRIMINAL SENTENCING 不接納被告人的證供。被告人不服定罪， 提出上訴。 HKSAR v Londono Montealegre Maritza Yaneth [2016] HKEC 2581 裁決 –上訴得直，撤銷定罪判決： Court of Appeal • 該相片沒有專家證據證明真偽。此 Criminal Appeal No. 80 of 2016 外，案中涉及的是一張硬照，並非顯 Lunn V-P and McWalters JA Hong Kong extended to her, the 示一連串行為動作的錄影。偽造照片 29 November 2016 enhancement, too, was correct. 或作出竄改後上傳「面書」是輕而易 Enhancement of sentence – That other judges might not have 舉之事。即使照片表達的畫面是真 reasons for not enhancing always ordered enhancement in 的，也可能因為角度問題而不準確。 sentence, which would normally circumstances of this type was irrelevant to whether the Judge was • 裁判官沒有考慮以下議題：既然X是 be enhanced due to presence of entitled to enhance this sentence. 被無故襲擊，令他痛至要即時接受治 aggravating factor, should be • In the three cases referred to by 療，痛楚持續至翌日，他亦知悉被告 given D as ones in which the sentences 人是誰，為甚麼他要等到該照片出現 The indictment contained two counts were not enhanced despite 才報案呢？照片是不是偽造的或曾被 of unlawful trafficking in dangerous circumstances which would have 竄改？案發現場有「佔中」人士、 drugs. Count 1 was against the applicant warranted enhancement, no reasons (“D”) and her co-defendant. The co- 「反佔中」人士、警察，但並無其他 for not ordering enhancement had defendant alone faced Count 2. Under been given. A sentencing judge 人士提供獨立證供支持X的版本。 Count 1, D pleaded guilty to trafficking who decided not to enhance a • 根據被告人的說法，他曾經跟X搭訕， in dangerous drugs, namely 303 g of sentence despite the presence 其後才發生他的「自保」行為，除非X cocaine, and received a sentence of nine of an aggravating factor in the years and four months’ imprisonment circumstances of the offence or 並無和盤托出事情始末，否則根據X的 arrived at as follows. A starting point of the offender should advert to the 證供，整件事件只會歷時一、兩分鐘， 13 ½ years’ imprisonment was adopted. presence of that factor and explain 不會是5-10分鐘。如果是這樣，裁判 It was reduced by way of a one-third why she or he was nevertheless not 官並無考慮X有否道出全部事實真相。 discount for D’s guilty plea to nine years’ going to enhance the sentence. imprisonment. That was enhanced by six • 控方第二證人不是目擊證人，控方無 months to reflect the fact that at the time 須傳召他。被告人無律師代表，他並 of the offence D, who held a Colombian 刑事判決 不知悉控方第二證人的證供是傳聞證 passport, also held a recognizance HKSAR v Londono Montealegre 供，因此沒有提出反對。裁判官應問 (commonly known as a “Form 8”) Maritza Yaneth [2016] HKEC 2581 清楚控方為甚麼提出有關證供，以確 issued by the Immigration Department to persons who would otherwise be 上訴法庭 保他並無將傳聞證供錯誤納入呈堂證 detained pending resolution of a claim 上訴法庭刑事上訴案2016年第80號 供。雖然如此，裁判官沒有在裁斷陳 to be allowed to remain in Hong Kong. 上訴法庭副庭長倫明高，上訴法庭法官 述書提及控方第二證人，而他身為專 Such enhancement was then reduced 麥偉德 業裁判官，並沒有錯誤依賴控方第二 to four months to reflect D’s guilty plea. 2016年11月29日 證人的證供。 D applied for leave to appeal against sentence. • 這是一宗「單對單」作證的案件。如 加刑 — 假如案中有着本應足以支 Held, dismissing the application, that: 果被告人所言屬實或有可能屬實，控 持加刑的因素，但法庭最終仍決 • The starting point was correct. It 方便未能成功舉證。即使裁判官拒絕 定不加刑，則法庭應述明理由 might well be that D’s co-defendant 接納被告人的證言，他也必須肯定有 was making use of her. But she had 本案公訴書載有兩項「非法販運危險藥 證據支持指控。裁判官沒有充分考慮 played a role in their joint enterprise. 物」控罪，控罪一針對申請人及其共同被 好幾個議題，原訟庭法官在上訴重審 And the co-defendant’s greater role 告人(下稱D)，控罪二只針對D。申請人承 時不能決定X的證供是否可信可靠。 in drug trafficking was reflected in the additional punishment imposed 認控罪一，即販運303克可卡因，並被判 • 基於上述理由，被告人不是「自招 on him on the count which he faced 監禁9年4個月。原審法官藉下述方式得出 嫌疑」，因此獲判給上訴及原審的訟 alone. 該刑期﹕先採納監禁13年半為量刑基準， 費。 • D having taken advantage of 然後因應申請人認罪而把刑期扣減三分之 the hospitality and freedom that 一至9年，繼而加刑6個月，以反映案發時

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申請人除了持有哥倫比亞護照外亦持有由 irreparable damage. He then made an 知識產權 本港入境事務處發出的擔保書(通常稱為 order nisi for Ds’ costs to be taxed (if Xcelom Ltd v BGI-Hongkong Co Ltd 「表格8」)，這類擔保書乃向本須被羈留 not agreed) and paid by Ps to Ds, with (No. 2) [2016] HKEC 2668 以等待聲請結果的人士發出，以容許他們 certificate for two counsel (the “Order”). 原訟法庭 在香港逗留。法官繼而從上述加幅扣減兩 Ps applied for a variation of the Order seeking “the costs of the application 高院民事案件2015年第3089號 個月，以反映申請人認罪。申請人不服判 be costs in the cause to be taxed if 刑，申請許可提出上訴。 暫委法官郭慶偉資深大律師 not agreed …”. Ds sought a variation 2016年12月9日 裁決 — 駁回申請﹕ such that their costs to “be paid by Ps forthwith to be taxed if not agreed.” • 原審法官所採納的量刑基準正確。誠 訟費 — 侵犯專利 — 無法成立的非正 然，申請人很可能被D利用販毒。不 Held, dismissing P’s application with 審申請 — 現今法庭處理訟費問題的 過，申請人曾在他們二人的夥同犯罪 costs to Ds, to be paid forthwith to be 方式 勾當中擔當角色，而D在販毒罪行中 taxed if not agreed, that: 的較主要角色，已藉着他就其單獨面 • On an interlocutory application, 在知識產權訴訟程序中，原告人申請非正審 對的控罪被判以額外刑罰一事而得到 an unsuccessful party could be 強制令，而法官裁定原告人在提出該申請方 反映。 penalised in costs in very special 面有嚴重延誤，且案中證據清楚顯示原告人 circumstances. 未有蒙受無法彌補的損害。法官繼而作出以 • 既然申請人曾濫用其獲香港賦予的禮 • There was no necessary correlation 下暫准訟費令，即被告人的訟費由原告人支 待和自由，原審法官所判處的加刑亦 between the success of an 付，其金額須由法庭評定(如與訟雙方未能就 屬正確。即使其他面對類似案情的法 interlocutory application and success 金額達成協議)，並發出大律師證明書(下稱 官不一定會加刑，這也不關乎本案原 at trial. There was no reason why the 「暫准令」)。原告人尋求把暫准令更改為 審法官是否有權向本案申請人加刑。 costs of an interlocutory application 「本申請的訟費歸於訟案中，假如與訟雙方 • 申請人曾經引述三宗案例，指法庭 should invariably be made to follow the event at trial or why payment 未能就其金額達成協議，則其金額須由法庭 在本可支持加刑的情況下仍決定不加 of such costs should invariably wait 評定……」﹔被告人則尋求把暫准令更改為 刑。在該三宗案例中，法庭都沒有解 until after trial. 其訟費「須由原告人立即支付，假如與訟雙 釋為何不下令加刑。假如涉案犯罪情 • Ps should never have made the 方未能就其金額達成協議，則其金額須由法 節或被告人的情況顯示加刑因素，但 application, given particularly 庭評定」。 法官仍決定不加刑，則法官應特別指 absence of irreparable damage. 裁決 — 駁回原告人的申請，並下令原告人立 出該因素，並解釋為何在該因素存在 They had wasted Ds’ costs and time 下仍決定不加刑。 and the Court’s time. An immediate 即支付被告人的訟費，假如與訟雙方未能就 costs order should be and was made 其金額達成協議，則其金額須由法庭評定﹕ against Ps. • 在非正審申請中，申請失敗的一方在非常 INTELLECTUAL PROPERTY • As for the variation of the Order 特殊的情況下或會受到訟費方面的懲罰。 sought by Ds, as the word • 非正審申請成功與在審訊中勝訴並無必然 Xcelom Ltd v BGI-Hongkong Co Ltd “forthwith” was not necessary. Ds 關係。非正審申請的訟費並不例必要跟隨 (No. 2) [2016] HKEC 2668 were entitled to immediate taxation 審訊結果，也不例必要等到審訊完結後才 Court of First Instance and payment of their costs and the Order had the effect intended. 支付。 High Court Action No. 3089 of 2015 Although unnecessary, the variation • 本案原告人根本不應提出相關的非正審申 Deputy Judge Kenneth Kwok SC was granted given Ps’ lack of 請，特別在原告人未有蒙受無法彌補的損 9 December 2016 objection. 害之時為然。原告人的做法浪費了被告人 Costs – patent infringement 的訟費和時間，也浪費了法庭的時間。本 – unmeritorious interlocutory 席應當亦確實下令原告人立刻支付被告人 application – modern approach 的訟費。 to costs • 至於被告人尋求的更改，「立即」一詞實 In intellectual property proceedings for 無必要。被告人有權立刻獲評定和支付其 an interlocutory injunction, the Judge 訟費，而暫准令已表明該意。縱使無必要 held that Ps were guilty of inordinate 加入「立即」一詞，但既然原告人沒有表 delay in making the application and 示反對，本席批准被告人尋求的更改。 there was clear evidence of a lack of

For full summaries and judgments, please refer to Westlaw and Hong Kong Law Reports & Digest at www.westlaw.com.hk. 就完整的摘要和判決書，請到 www.westlaw.com.hk 參閱Westlaw及《香港法律彙報與摘錄》。 62 www.hk-lawyer.org February 2017 • PROFESSIONAL MOVES 會 員 動 向

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CHEUNG HIU YING KAM HOU YEE MADELINE YIU LAI HONG 張曉瑩 甘灝儀 NEWTON DEACONS KONG LOK SUN 姚禮匡 的近律師行 江樂燊 CHEUNG HOI YIN INGRID KONG SIN HO 張鎧姸 江先灝 CLIFFORD CHANCE BAKER & MCKENZIE 高偉紳律師行 貝克‧ 麥堅時律師事務所

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KONG TAK SHUN LEE HOI YEE JULIA MORRISSEY GILLIAN MARY 江德信 李愷宜 MU NAN ALLEN & OVERY MUNROS 穆楠 文禮律師行 安理國際律師事務所 CLIFFORD CHANCE KWOK WING CHUNG ELIOT LEE SIU CHU 高偉紳律師行 郭永聰 李小珠 NG CHARMAINE LIMS SOLICITORS LEE VALERIE LINGLI 吳嘉雯 林志宇律師事務所 李伶俐 HOLMAN FENWICK WILLAN KWOK MICHELLE JOANNE WATSON FARLEY & WILLIAMS 夏禮文律師行 郭仲欣 華盛國際律師事務所 NG CHEUK YIN CLIFFORD CHANCE LEUNG HOI CHUI 吳卓然 高偉紳律師行 梁凱翠 PINSENT MASONS KWONG MEI KI DLA PIPER HONG KONG 品誠梅森律師事務所 江美琪 歐華律師事務所 NG KATHERINE PUI-LING LEUNG & LAU LEUNG HOI YING ANTHEA 吳佩玲 梁寶儀劉正豪律師行 梁凱瑩 NG SIU FANG LAI HOI HO EVERSHEDS 黎凱豪 安睿國際律師事務所 STANDARD CHARTERED BANK (HONG KONG) LIMITED LI, WONG, LAM & W.I. CHEUNG LI CHUN HEI 張永賢‧李黃林律師行 NG YEE LING 李俊熙 吳綺玲 LAM HIU TUNG WOO & CO., P.C. 林曉東 胡百全律師事務所 NI HAO LI & PARTNERS 倪豪 LI TSUN YIN 李偉斌律師行 李晉賢 SLAUGHTER AND MAY 司力達律師樓 LAM MEI YAN LI XIALU 林美欣 PANG WAI KIU HELEN 李夏璐 DEACONS 彭慧翹 JUN HE LAW OFFICES 的近律師行 BAKER & MCKENZIE 君合律師事務所 貝克‧ 麥堅時律師事務所 LAM HIU-YAN TIFFANY LIN MENG-JUE JAMIE 林曉欣 SO CHI LING VERONICA 林夢玨 蘇智泠 LAM YING NAM LINDA CLIFFORD CHANCE 林英男 高偉紳律師行 SUNG YEE CHUN CLEMENT EVERSHEDS 宋苡俊 LIU WHI YAN RYAN 安睿國際律師事務所 廖懷恩 TANG KIN MAN LAM YU HIN ALAN HOWSE WILLIAMS BOWERS 鄧健敏 林宇軒 何韋鮑律師行 WANG HAOFEI LAU WA TSUN JUNE LO NOK KAN DOMINIC 王昊菲 劉樺蓁 盧諾勤 ROPES & GRAY CLIFFORD CHANCE WONG KA YAN KAREN 瑞格律師事務所 高偉紳律師行 黃嘉欣 WOO & CO., P.C. LUK WING LAM LEE HOI MAN 胡百全律師事務所 李愷文 陸詠琳 DEACONS MINTER ELLISON WONG LEE PING 的近律師行 銘德律師事務所 王莉萍 ZHONG LUN LAW FIRM 中倫律師事務所

68 www.hk-lawyer.org February 2017 • PROFESSIONAL MOVES 會 員 動 向

WONG WAI YIN RACHEL Partnerships and Firms 黃瑋賢 changes received as from 1 December 2016 JONES DAY 合夥人及律師行變動 取自2016年12月1日起香港律師會所提供之最新資料 眾達國際法律事務所

WONG YIK YIN CATHIE • AGGARWAL JAY SHREE • CHIK PUI HONG 黃亦姸 ceased to be a partner of Kwok Yih & ceased to be a partner of Linklaters as Chan as from 03/01/2017 and remains from 01/01/2017. DEACONS as a consultant of the firm. 植沛康 的近律師行 高譽嘉 自2017年1月1日不再出任年利達律師事務 WONG YUEN WING INEZ 自2017年1月3日不再出任郭葉陳律師事 所合夥人一職。 務所合夥人一職，而轉任為該行顧問。 王婉穎 • CHING KAR BIG RUBY MINTER ELLISON • CHAN CHEUK WAH became a partner of Or & Partners as from 銘德律師事務所 ceased to be a partner of C.W. Chan & 04/01/2017. Co. as from 01/12/2016. 程家璧 XIAO RONG 陳卓華 自2017年1月4日成為柯廣輝律師事務所合 肖融 自2016年12月1日不再出任陳卓華律師 夥人。 事務所合夥人一職。 YAU JUN TANG FELIX • CHOW CHEUK YIN CALVIN • CHAN SAI KEUNG HUGO became a partner of P.C. Woo & Co. as 游竣棠 ceased to be a partner of Or & Partners from 01/01/2017. as from 04/01/2017 and remains as a 周卓言 YING KAR HEI DAWN consultant of the firm. 自2017年1月1日成為胡百全律師事務所合 英家熹 陳世強 夥人。 MAYER BROWN JSM 自2017年1月4日不再出任柯廣輝律師事 孖士打律師行 務所合夥人一職，而轉任為該行顧問。 • CHOW YUEN KWAN became a partner of ONC Lawyers as from YIU KWUN YAN • CHAN YIU KWONG 01/01/2017. 姚冠恩 ceased to be a partner of Cadwalader, 周婉君 Wickersham & Taft as from 01/01/2017 自2017年1月1日成為柯伍陳律師事務所合 YU TIN SUM and joined Dechert as a partner on the 夥人。 same day. 余天心 陳耀光 • FARRANDS SAM WOO & CO., P.C. 自2017年1月1日不再出任凱威萊德律師 ceased to be a partner of Minter Ellison as 胡百全律師事務所 事務所合夥人一職，並於同日加入德杰 from 01/01/2017. 律師事務所為合夥人。 范倫森 YUNG YIN YEE JASAMINE 自2017年1月1日不再出任銘德律師事務 容彥宜 • CHEUNG KING POON DEREK 所合夥人一職。 ceased to be a partner of Cheung, ZHANG HANTAO Chan & Chung as from 01/01/2017 and • FLEMING DAVID JOHN 張瀚濤 remains as a consultant of the firm. ceased to be a partner of Baker & 張景蟠 McKenzie as from 01/01/2017. ZHANG TINGRU 自2017年1月1日不再出任張陳鍾律師行 范皓明 張婷茹 合夥人一職，而轉任為該行顧問。 自2017年1月1日不再出任貝克‧ 麥堅時 HASTINGS & CO. • CHEUNG LAM CHAU 律師事務所合夥人一職。 希仕廷律師行 became a partner of Tong & Lawyers as • GORDON CHRISTOPHER DAVID IAN from 28/12/2016. ceased to be a partner of Robertsons ZHU CHENGKANG 張林秋 as from 01/01/2017 and remains as a 朱成康 自2016年12月28日成為湯氏律師事務 consultant of the firm. GARD (HK) LTD. 所合夥人。 高 登 • CHEUNG WING CHOI FRANKI 自2017年1月1日不再出任羅拔臣律師事務 ceased to be a partner of Deacons as 所合夥人一職，而轉任為該行顧問。 from 01/01/2017. • HO HING CHUNG STEPHEN 張永財 ceased to be a partner of Howell & Co. 自2017年1月1日不再出任的近律師行合 as from 01/01/2017 and remains as a 夥人一職。 consultant of the firm. 何慶聰 自2017年1月1日不再出任何和禮律師行合 夥人一職，而轉任為該行顧問。

www.hk-lawyer.org 69 • February 2017

• HO CHING WAN IAN • LEE EVA • LI SHING HIN became a partner of Simpson Thacher ceased to be a partner of Cheung & became a partner of Linklaters as from & Bartlett as from 01/01/2017. Choy as from 01/01/2017 and joined 01/01/2017. 何青雲 Anthony Siu & Co. as a partner as 李承軒 自2017年1月1日成為盛信律師事務所 from 04/01/2017. 自2017年1月1日成為年利達律師事務所合 合夥人。 李綺華 夥人。 自2017年1月1日不再出任張世文蔡敏 • HO JOHN 律師事務所合夥人一職，並於2017年1 • LU GUIPING ceased to be a partner of John Ho & 月4日加入蕭一峰律師行為合夥人。 commenced practice as the sole practitioner Tsui as from 01/01/2017. of Lu & Associates as from 09/12/2016. 何約翰 • LEE LAP HANG 蘆貴平 自2017年1月1日不再出任何約翰律師 became a partner of Iu, Lai & Li as 自2016年12月9日獨資經營蘆貴平律師行。 行合夥人一職。 from 01/01/2017. 李立行 • MAK SHIU YEE • HO WAI HONG 自2017年1月1日成為姚黎李律師行合 became a partner of Rouse Legal as from ceased to be a partner of Dechert as 夥人。 01/01/2017. from 01/01/2017. 麥兆怡 何偉康 • LEE LINA 自2017年1月1日成為羅思律師事務所合夥 自2017年1月1日不再出任德杰律師事 ceased to be a partner of Ashurst 人。 務所合夥人一職。 Hong Kong as from 05/01/2017. 李蓮娜 • MOK YEE WING • HON YAT KIT 自2017年1月5日不再出任亞司特律師 ceased to be a partner of Norton Rose ceased to be a partner of C.O. Yu & 事務所合夥人一職。 Fulbright Hong Kong as from 01/12/2016. Co. as from 01/01/2017. 莫宜詠 韓一杰 • LEE OI YEE 自2016年12月1日不再出任諾頓羅氏富布萊 自2017年1月1日不再出任韓俞律師行 joined Howse Williams Bowers as a 特香港合夥人一職。 合夥人一職。 partner as from 28/12/2016. 李藹兒 • NEWICK MATTHEW FORSTER • HYDE MARK ROBERT 自2016年12月28日加入何韋鮑律師行 ceased to be a partner of Clifford Chance as ceased to be a partner of Clifford 為合夥人。 from 01/01/2017. Chance as from 01/01/2017. 自2017年1月1日不再出任高偉紳律師行合 穆瀚德 • LEUNG SAI KIT 夥人一職。 自2017年1月1日不再出任高偉紳律師 joined Baker & McKenzie as a partner • NG CHI LUEN 行合夥人一職。 as from 01/01/2017. 梁世傑 ceased to be a partner of Winston Chu & Co. as from 01/01/2017 and remains as a • JIANG JINGJING 自2017年1月1日加入貝克‧ 麥堅時律 consultant of the firm. became a partner of King & Wood 師事務所為合夥人。 Mallesons as from 01/01/2017. 吳子聯 江競競 • LEUNG WUN MAN EMBA 自2017年1月1日不再出任徐嘉慎律師事務 自2017年1月1日成為金杜律師事務所 ceased to be a partner of Lily Fenn 所合夥人一職，而轉任為該行顧問。 合夥人。 & Partners as from 01/01/2017 and joined Chin & Associates as a • NG FLORENCE • KWONG CHI HO consultant on the same day. commenced practice as the sole practitioner ceased to be the sole practitioner of 梁媛雯 of Florence Ng and Co., Solicitors as from 01/12/2016. Raymond Kwong & Co., Solicitors as 自2017年1月1 日不再出任范家碧律師 吳翠蘭 from 01/01/2017 and the firm closed 行合夥人一職，並於同日加入錢志庸律 on the same day. 師行為顧問。 自2016年12月1日獨資經營吳翠蘭律師行。 鄺志豪 • NG GENE BOND 自2017年1月1日不再出任鄺志豪律師 • LEUNG YUET HAN became a partner of Chan and Cheng commenced practice as the sole practitioner 事務所獨資經營者一職，而該行於同日 of Bond Ng Solicitors as from 21/12/2016. 結業。 as from 01/01/2017. 梁月嫻 伍展邦 • LAI YUNG LOUIS 自2017年1月1日成為陳耀莊鄭樹深律 自2016年12月21日獨資經營伍展邦律師 ceased to be a partner of Ford, Kwan 師行合夥人。 行。 & Company as from 09/12/2016 and joined T.K. Tsui & Co. as a partner as • LI KIN KENT • NG MAN SAN JANE from 19/12/2016. became a partner of Eddie Lee & Co. ceased to be a partner of Cadwalader, 賴 勇 as from 03/01/2017. Wickersham & Taft as from 01/01/2017 and joined Stephenson Harwood as a partner as 李 健 自2016年12月9日不再出任梁錦濤, 關 from 05/01/2017. 學林律師行合夥人一職，並於2016年 自2017年1月3日成為李偉明律師行合 吳敏珊 12月19日加入徐子健律師行為合夥 夥人。 人。 自2017年1月1 日不再出任凱威萊德律師事 務所合夥人一職，並於2017年1月5日加入 羅夏信律師事務所為合夥人。

70 www.hk-lawyer.org February 2017 • PROFESSIONAL MOVES 會 員 動 向

• NGAI KWOK HUNG PETER • SO TSZ MAN PETER • WONG YIU KWONG ceased to be a partner of P.C. Woo & Co. became a partner of Deacons as from ceased to be the sole practitioner as from 01/01/2017 and remains as a 01/01/2017. of Stanley Y.K. Wong & Co. as from consultant of the firm. 蘇子敏 01/01/2017 and the firm closed on the 魏國鴻 自2017年1月1日成為的近律師行合夥 same day. 自2017年1月1日不再出任胡百全律師事 人。 黃耀光 務所合夥人一職，而轉任為該行顧問。 自2017年1月1日不再出任黃耀光律師行 • TAM KAM YUEN KELVIN 獨資經營者一職，而該行於同日結業。 • PAYNE ANDREW became a partner of Woo, Kwan, Lee & joined DLA Piper Hong Kong as a Lo as from 16/12/2016. • WONG YU CHING EUGENE partner as from 14/12/2016. 譚錦源 became a partner of Mayer Brown JSM 自2016年12月14日加入歐華律師事務所 自2016年12月16日成為胡關李羅律師行 as from 01/01/2017. 為合夥人。 合夥人。 黃宇正 自2017年1月1日成為孖士打律師行合夥 • PETERMAN SCOTT DENNIS • TANG SIU KUI ERNEST 人。 ceased to be a partner of Jones Day joined C.O. Yu & Co., Solicitors as a as from 01/01/2017 and remains as a partner as from 01/01/2017. • WOO KIT JING GIGI consultant of the firm. 鄧兆駒 ceased to be a partner of O’Melveny & 自2017年1月1日不再出任眾達國際法律 自2017年1月1日加入韓俞律師行為合夥 Myers as from 31/12/2016. 事務所合夥人一職，而轉任為該行顧問。 人。 胡潔貞 • PRESTON MICHAEL JOHN 自2016年12月31日不再出任美邁斯律師 • TEOH YUEN FAI RODNEY 事務所合夥人一職。 ceased to be a partner of Cleary Gottlieb became a partner of Stevenson, Wong & Steen & Hamilton (Hong Kong) as from Co. as from 01/01/2017. • YE YU RONG 01/01/2017. 張源輝 joined Miao & Co. as a partner as from 自2017年1月1日不再出任佳利(香港)律 自2017年1月1日成為史蒂文生黃律師事 03/01/2017. 師事務所合夥人一職。 務所合夥人。 叶宇嶸 • PUFF GREGORY DAVID 自2017年1月3日加入繆氏律師事務所為 • TIANG DAVID NICHOLAS ceased to be a partner of Akin 合夥人。 commenced practice as the sole Gump Strauss Hauer & Feld as from practitioner of Tiang & Co. as from • YIU KA TUNG 31/12/2016. 03/01/2017. joined Kwok Yih & Chan as a partner as 自2016年12月31日不再出任艾金‧崗波 程偉賓 from 03/01/2017. 律師事務所合夥人一職。 自2017年1月3日獨資經營程偉賓律師事 姚嘉棟 • SI HO LING 務所。 自2017年1月3日加入郭葉陳律師事務所 became a partner of Deacons as from 為合夥人。 01/01/2017. • TONG YUK CHUN became a partner of Chung & Kwan as • YU CHEUK MAN 施澔鈴 from 01/01/2017. became a partner of K.M. Tang & Co. as 自2017年1月1日成為的近律師行合夥 湯玉珍 from 12/12/2016. 人。 自2017年1月1日成為鍾沛林律師行合夥 余焯文 • SMITH CHRISTOPHER WILLIAM 人。 自2016年12月12日成為鄧啟明律師行合 ceased to be a partner of Baker & 夥人。 McKenzie as from 01/01/2017 and • TSANG KWOK CHING remains as a consultant of the firm. ceased to be the sole practitioner of K.C. • YU KAM SING RAYMOND Tsang & Co. as from 01/01/2017 and joined Howell & Co. as a partner as from 自2017年1月1日不再出任貝克‧ 麥堅時 the firm closed on the same day. Mr. 01/01/2017. 律師事務所合夥人一職，而轉任為該行顧 Tsang joined Florence Tsang & Co. as a 余錦勝 問。 consultant as from 01/01/2017. 自2017年1月1日加入何和禮律師行為合 • SMITH PHILLIP KEVIN 曾國政 夥人。 ceased to be a partner of Mayer Brown 自2017年1月1日不再出任曾國政律師行 JSM as from 01/01/2017. 獨資經營者一職，而該行於同日結業。 • YUEN KA FAI 施偉立 曾律師於2017年1月1日加入Florence ceased to be a partner of Woo, Kwan, Lee & Lo as from 01/01/2017 and joined 自2017年1月1日不再出任孖士打律師行 Tsang & Co.為顧問。 Clifford Chance as a partner on the same 合夥人一職。 • WOLL ROBERT day. • SO CHUN KWOK joined Mayer Brown JSM as a partner as 阮家輝 became a partner of Reed Smith from 19/12/2016. 自2017年1月1日不再出任胡關李羅律師 Richards Butler as from 01/01/2017. 吳 柏 行合夥人一職，並於同日加入高偉紳律師 蘇振國 自2016年12月19日加入孖士打律師行為 行為合夥人。 自2017年1月1日成為禮德齊伯禮律師行 合夥人。 合夥人。

www.hk-lawyer.org 71 • February 2017 CAMPUS VOICES 法學院新聞

CUHK Law Alumnus Awarded Best Orator in Essex 中大法律學院校友在Essex Court Court Chambers – Singapore Academy of Law Chambers - 新加坡法律學院國際模 International Mooting Competition 擬法庭比賽奪最佳訟辯員獎 CUHK Law alumni Keith Cheung (PCLL 2016; JD 2015, CUHK) and Cynthia 香港中文大學法學院校友Keith Cheung(PCLL Or (PCLL 2015; JD 2014, CUHK) participated in the Essex Court Chambers – 2016；中文大學JD 2015)和Cynthia Or(PCLL Singapore Academy of Law (ECC-SAL) International Mooting Competition held 2015；中文大學JD 2014)參加了於2017年 at the Supreme Court of Singapore from 7–11 January 2017. Keith and Cynthia are both trainee solicitors at international law firms in Hong Kong and were 1月7日至11日在新加坡最高法院舉行的Essex previously members of the CUHK Vis Moot team. Court Chambers - 新加坡法律學院(ECC-SAL) The team progressed to the semi-final – making the last four teams in the 國際模擬法庭比賽。Keith和Cynthia現時均在香 competition, and the Faculty is delighted that Keith also won the award for the 港國際律師行擔任實習律師，二人曾為中大Vis Best Orator (Advocate) in the contest. Moot隊成員。

This is the first time that a team from Hong Kong has participated in the ECC- 二人的隊伍成為擠身準決賽的四隊之一，法律 SAL moot and they were the only non-Singaporean team to qualify for the 學院亦喜見Keith獲得最佳訟辯員獎(Best Orator advanced rounds. Teams from Australia, Hong Kong, India, Malaysia, Pakistan, (Advocate))。 Singapore and South Korea participated in the competition. Students take part in mooting to improve their legal research, legal reasoning, 今次是香港隊伍首次參加ECC-SAL模擬法庭比 advocacy, communication and case analysis skills as well as their ability to think 賽，亦為唯一晉身進階回合的非新加坡隊伍。比 quickly on their feet and their self-confidence. CUHK Law has participated in 賽參加者分別來自澳洲、香港、印度、馬來西 major mooting competitions since the Faculty was established in 2006 with 亞、巴基斯坦、新加坡和南韓。 great success. In 2009, 2010 and 2016 the CUHK team won the Hong Kong rounds of the Philip C. Jessup International Law Moot Competition and went 學生參與模擬法庭比賽，有助改善他們的法律研 on to represent Hong Kong in the International Finals in Washington, DC. In 究、法律理據、訟辯、溝通和案例分析技巧，亦 addition, in Willem C. Vis (East) International Commercial Arbitration Moot, the 能提升他們的急才和自信。自2006年成立以來， CUHK team advanced to the semi-final round in 2013, ranked second in 2014 中大法律學院在主要模擬法庭比賽表現出色。 and won the championship in 2016. CUHK Law has also achieved success in 在2009、2010和2016年，中大勝出了Philip C. the International Criminal Court (“ICC”) moot court competition. In 2014, it Jessup國際模擬法庭比賽香港回合，並前赴華盛 claimed fourth place in the international rounds of the competition and reached the semi-final round in 2015. In 2014, CUHK Law finished in second place in 頓在國際總決賽中代表香港出賽。此外，在Willem the ICC Moot Court Competition, Chinese Version, and won the championship C. Vis (East) 國際商業仲裁模擬法庭比賽，中大晉 in 2016. The Faculty was proud to win the championship of LAWASIA 身2013年準決賽，2014年取得亞軍，2016年更 International Moot Competition in 2013 and claimed second place in 2014. 奪得總冠軍。中大法律學院在國際刑事法院(ICC) 模擬法庭比賽亦取得佳 績，2014年在國際回 合中排名第四，並在 2015年進入準決賽。在 2014年，中大法律學 院在ICC模擬法庭比賽 (中文)中獲得亞軍，在 2016年更贏得冠軍。法 律學院在2013年亦奪得 LAWASIA國際模擬法庭 比賽冠軍，在2014年亦

Keith Cheung is awarded the Best Orator (Advocate) in Essex Court Chambers – Keith Cheung and Cynthia Or participate in ECC-SAL 取得亞軍。 Singapore Academy of Law (ECC-SAL) International Mooting Competition. International Mooting Competition held at the Supreme Keith Cheung 獲Essex Court Chambers - 新加坡法律學院(ECC-SAL)國際模擬法 Court of Singapore. 庭 比 賽 最 佳 訟 辯員 獎。 Keith Cheung和Cynthia Or參加了在新加坡最高法院舉行的 EC C-S A L國際模 擬 法 庭 比賽。

72 www.hk-lawyer.org February 2016 • CAMPUS VOICES 法 學 院 新 聞

CityU Law School Held 2016 Graduation Ceremony On the evening of 12 December 2016, the School of Law of City University of Hong Kong (CityU) held the School Graduation Ceremony in the Wong Cheung Lo Hui Yuet Hall in the Lau Ming Wai Academic Building. The Honourable Chief Justice Geoffrey Ma Tao-li, GBM, Chief Justice of the Court of Final Appeal; Professor 香港城市大學法律學院舉行2016 Geraint Howells, Dean of the CityU Law School and the graduate representative 年度畢業典禮 Ms. Phoebe Cheng Hei-lam gave addresses. Mr. Wally Yeung Chun-kuen, Vice- President of the Court of Appeal and Senior Counsel Mr. Hectar Pun Hei also 2016年12月12日晚，香港城市大學(簡稱 attended the Ceremony. Around 600 guests comprising faculty members and “城大”)法律學院2016年度畢業典禮於劉鳴 graduates from Bachelor of Laws (Honours), Postgraduate Certificate in Laws, 煒學術樓黃翔羅許月伉儷講堂隆重舉行。香港 Juris Doctor, Master of Laws in Arbitration and Dispute Resolution, Master of Laws, 終審法院首席法官馬道立法官，香港城市大學 Doctor of Juridical Science and Doctor of Philosophy programmes, along with their 法律學院院長賀嘉倫教授(Professor Geraint parents, relatives and friends participated and witnessed this solemn moment. Howells)和畢業生代表法律學榮譽學士鄭希琳 “The study of law is a discipline that is at the same time rich in philosophical 同學分別在典禮上致辭。出席典禮的嘉賓還包 undertones and also in practicalities,” said Chief Justice Ma in his speech. “Reason 括香港高等法院上訴法庭法官楊振權副庭長及 as the basis of law connects the philosophical foundations of law to its practical application and this connection takes us into present day Hong Kong.” He 資深大律師潘熙先生。近六百名來賓包括學院 explained that courts and judges make important decisions everyday and all the 教師和法律學榮譽學士、法學專業證書、法律 judgments should be fully reasoned so that the community can see that the law, 博士、仲裁及爭議解決學法學碩士/法學碩士 the legal principle and the spirit of the law have been followed. He emphasised the (仲裁及爭議解決學)、法學碩士、法學博士和 importance of the law to the people of Hong Kong and his hope that the graduates 哲學博士的畢業生及其親友，出席是次畢業典 truly understand the rule of law and do their best to uphold it. 禮，共同見證了這莊嚴的一刻。 Professor Howells congratulated the graduates and thanked the faculty of the Law School, who guided them throughout their legal education. He also thanked 馬官在致辭時提到 “法律是一門富哲學色彩而 their families and friends for their endless love and support. “You are graduating 又講求實踐的學問。理性作為法律的根基，把 today and you are graduating at the right time. It is a time witnessing great global 法律的哲學基礎與其實際應用連繫起來；這種 and local changes, challenges, and opportunities.” Professor Howells encouraged 連繫正好引領我們探討今日香港的情況。”他 graduates to critically reflect on what they have learnt at the School, to explore new 解釋法院和法官每天都會作出重要的判決，這 knowledge and to meet challenges head on. 些判決均須詳列理由，好讓公眾得悉法律、法 Graduate representative, Ms. Phoebe Cheng Hei-lam, expressed her gratitude to 律原則和法律精神均已遵循。他強調法律對港 the teachers, fellow graduates and their parents for their support and help. She 人意義重大並希望各位法律系畢業生真正理解 said to the fellow graduates: “Graduation is not an end; it is just the beginning of 法治的涵義，日後致力維護法治。 our journey. We’ve already taken the first step by making it to the ceremony today – now, it’s time for us to take the next steps in our lives and begin building our future.” 賀教授祝賀在座畢業生並致謝一群引領學子們 Participants reminisced about their time together while enjoying a wide variety of 追求法律知識的學院教員。他亦感謝學生家 refreshments. It was indeed an enjoyable and memorable evening, which marked 人和朋友的無限愛護和支持。“各位今天畢業 the 2016 CityU Law graduates’ new journey. Our heartiest congratulations, again, to 了，這是最佳的畢業時機，你們能夠見證全球 all graduates. The School wishes you a bright future! 與本地的重大轉變、挑戰和機遇。”賀教授鼓 勵畢業生們深刻反思在學院所學的一切，探索 新知，迎接挑戰。

畢業生代表鄭希琳同學在畢業感言中感恩師 長、同窗和父母的支持與幫助。她對各位畢業 生們說：“畢業不是終結，而是人生旅程的新 開始。我們已經邁出第一步，成功走到今天的 畢業典禮；如今是邁出人生下一步、開創未來 的時候了。”

飲美酒，品佳餚，共享畢業的喜悅，共話離別 的眷念。這是一個令人難忘的夜晚，標誌著 2016年度城大法律學院畢業生啟航人生的新 旅程。法律學院再次衷心祝願全體畢業生前程 錦繡！

www.hk-lawyer.org 73 • February 2017

HKU Study Reveals Strong Demand for a Special Needs Trust for People with Intellectual Disability The Faculty of Law of The University of Hong Kong (HKU) presented the results of a questionnaire survey entitled “Ascertaining the need for Special Needs Trusts in Hong Kong” on 10 January 2017. The survey, targeted at parents of individuals with intellectual disability, was conducted by Professor Lusina Ho and Associate Professor Rebecca Lee at HKU and the Concern Group of Guardianship * System and Financial Affairs (“CGGSFA”) . Professor Lusina Ho and Associate Professor Rebecca Lee, Faculty of Law, HKU, presented the survey report at the Press Conference. According to government statistics, between 71,000 and 101,000 法律學院何錦璇教授(左)及李穎芝副教授公佈問卷調查結果。 people in Hong Kong are individuals with intellectual disability. As existing legal mechanisms for the financial planning for these 港大調查發現有殷切需求為智障人士設立特殊 individuals are limited, many parents are concerned that after their 需要信託 passing, the care for their children with intellectual disability would 香港大學法律學院於2017年1月10日發佈「評估特殊需要信託 be upset. The 2016 Policy Address of the Hong Kong Government 在香港的需求」問卷調查結果。問卷調查的對象是智障人士的 responded to the parents’ request by conducting a feasibility study in setting up a special needs trust (“SNT”) in Hong Kong. 家長，由香港大學法律學院何錦璇教授及李穎芝副教授與監護 制度與財產管理關注組聯合進行*。 An SNT provides an affordable mechanism of financial planning by pooling funds contributed by parents and thus reducing the cost of 政府統計資料顯示，全港約有71,000至101,000名智障人士。 administration and service fees. To participate in such a trust, the 由於現有可供智障人士使用的法定資產管理機制有限，很多家 parent-settlors transfer a nominal sum into the trust during their 長都憂慮自己離世後，他們的智障子女所享有的財務安排會受 lifetime, and at the same time write a letter of intent and a care plan 影響。香港政府2016年施政報告回應了家長訴求，進行設立 (setting out the monthly budget for the dependent-beneficiaries). 特殊需要信託（SNT）的可行性研究。 They also execute a will to bequeath a substantial amount to the trustee, so that on their passing, funds will be available to maintain 特殊需要信託通過匯集由家長提供的資產，提供可負擔的財務 the beneficiaries in accordance with the care plan. 規劃機制，從而降低管理和服務費。在參與此類信託時，家長 委託人生前轉移一筆象徵式的款項以成立信託帳戶，並訂立一 The territory-wide survey, the first of its kind in Hong Kong, received an overwhelming response with over 2,500 valid returns. The 個照顧方案及寫下一份意向書，照顧方案列出所供養的受益人 survey results show that parents of individuals with intellectual 每月所需的支出，同時訂立遺囑讓財產在家長去世後轉移至信 disability consider existing legal mechanisms for financial planning 託之內，以便按照顧方案維持供養受益人。 inadequate. Key findings of parents’ opinions about the SNT are: 是次問卷調查為首次全港性收集家長意見的問卷調查，收到超 • there is a strong demand for an SNT to be established in Hong 過2,500 份填妥的有效問卷，反應令人鼓舞。調查結果顯示智 Kong; 障人士的家長認為現時可供智障人士使用的法定資產管理機制 • 82 percent of the parents put the Government as top choice for trustee of the SNT; 46 percent of them only trust the Government to act as the trustee;

The Press Conference 新聞發佈會

74 www.hk-lawyer.org February 2016 • CAMPUS VOICES 法 學 院 新 聞

Mrs Chiu, Convenor of the Concern Group of Guardianship Sharing by a mother with a Down’s Syndrome Professor Lusina Ho and Associate Professor Rebecca Lee, System and Financial Affairs, welcomed the attendees of the daughter. Faculty of Law, HKU, presented the survey report at the Press Press Conference. 唐氏綜合症患者家長分享。 Conference. 監護制度及財產管理關注組召集人歡迎與會者出席新聞發佈會。 法律學院何錦璇教授(左)及李穎芝副教授公佈問卷調查結果。

• if the Government acts as trustee, 44 percent of the parents 未能切合智障人士的需要。家長對SNT的意見包括： surveyed are likely or very likely to participate in the SNT; • 香港對特殊需要信託的需求極大； • the following features of the SNT are most attractive to parents: • 82%家長首選由政府擔任受託人；46%家長只信賴由政府 the provision of a case manager to monitor the care received ° 擔任受託人； by their children; • 如果政府擔任受託人，44%受訪家長有機會或有很大機會 ° the annual fees of the SNT do not exceed 1 percent of the managed assets; and 參與SNT； ° the presence of parent representation in trust management; • 受訪家長對SNT具備以下特質最感興趣： and ° 提供個案經理，以監察他們子女所享有的照顧； • parents who are most likely to participate in the SNT are aged ° SNT的年費不超過受管理資產的1%；及 40–59 looking after dependents with intellectual disability ° 信託管理中有家長代表；及 aged 39 or below, and the dependents are with mild or moder- • 最大機會參與SNT的家長年齡介乎40至59歲、正供養39 ate intellectual disability, and are either only receiving Disability Allowance or not receiving any social welfare benefits. 歲或以下屬輕度或中度智障沒有接受任何公共福利或只接 受政府的傷殘津貼的子女。 The research is supported by RGC General Research Fund 2016–2017 (project number: 17612916). The survey report (in 是項研究由研資局優配研究金2016-2017資助(項目編 bilingual versions), press photos and presentation slides can be 號：17612916)。調查報告(雙語版本)、新聞照片及簡報可於 downloaded from www.snt.support. www.snt.support 下載。

* The Concern Group of Guardianship System and Financial Affairs is * 「監護制度及財產管理關注組」是一個由智障人士的家長以及照顧者 established by a group of parents and caregivers of persons with intellectual 發起的小組，關注現時香港成人監護制度的漏洞，並爭取完善相關制 disability. Its mission is to strive for a better adult guardianship system 度及政策，小組期望能有一個更完善的監護制度出現，讓智障人士在 through examining its current weaknesses and seeking for improvements 個人照顧或財產管理方面能夠得到更妥善的安排。 of the policies and institutions pertaining to adult guardianship. It is hoped that these efforts will enhance personal care and financial management arrangements for individuals with intellectual disability in Hong Kong.

www.hk-lawyer.org 75 • February 2017

LEGAL TRIVIA #34

This month’s questions focus on Hong Kong’s constitutional and electoral We would like to congratulate Ng Cheuk Hei, arrangements. Assistant Legal Manager, Asia Allied The questions have been prepared by Douglas Clark, Barrister. Suggestions for Infrastructure Holdings Limited, the winner of questions to appear in next month’s journal are most welcome. our Legal Quiz #33.

1. The Election Committee that elects the Chief Executive 6. What is the maximum percentage of Permanent has how many members? Judges of the Court of Final Appeal who may be non- A. 10 Chinese nationals? B. 800 A. 0% C. 1,200 B. 25% D. 20,000 C. 50% 2. Under the Basic Law, what is the minimum number D. 75% of years a non-Chinese national who was not born in E. 100% Hong Kong must be a resident in Hong Kong to obtain 7. Is the exercise of freedom of expression a legal defence permanent residence? to a charge of desecrating the Hong Kong Special A. 5 years Administrative Region’s flag? B. 7 years A.s Ye C. 10 years B. No 3. Which of the following groups of people are not 8. Who bears the cost of stationing the PLA Garrision in eligible to register as electors in Hong Kong? Hong Kong? A. Prisoners A. The Guangdong Provincial Government B. Members of any armed force B. The Chinese Central Government C. Judges C. The Hong Kong Government 4. What is the minimum age requirement for the Chief D. The Central and Hong Kong Governments share the Executive of Hong Kong? cost A. 20 9. Is the Hong Kong government able to impose foreign B. 30 exchange controls in Hong Kong? C. 40 A.s Ye D. 50 B. No C. Yes, but only in emergencies 5. What is the maximum percentage of the membership of LegCo that can be non-Chinese nationals? 10. Is it possible to enforce an arbitration award made in A. 0% Hong Kong in the Mainland of China under the New B. 20% York Convention? C. 50% A.s Ye D. There is no nationality requirement B. No Answers to Legal Trivia Quiz #33 Contest Rules: To be eligible to win a bottle of Ch. La Croizille 2007 from Global 1. C. Atholl MacGregor was buried at sea. Vintage Wines Centre, please send your quiz question answers to 2. B. Fanny, the wife of Attorney General William Meigh Goodman is buried in Hong Kong Cemetery. [email protected]. The first reader to respond 3. C. The Standing Committee of the NPC has interpreted the Basic Law five times. with the most correct answers, with no more than 3 incorrect responses, 4. A. True. Former High Court Judge Miles Jackson-Lipkin was convicted of fraud in 2007. will be deemed the winner. The decision 5. B. The minimum number of Judges that may hear a case in the Court of Final Appeal is four, but of Thomson Reuters only if there were five judges present when the hearing commenced (see s. 16(7), Hong Kong regarding the Court of Final Appeal Ordinance). winner is final 6. C. No judge holds a casting vote in the CFA (see s. 16(6) of the Hong Kong Court of Final Appeal and conclusive. Ordinance). 7. D. A member of the Chinese People’s Liberation Army or a police or revenue officer on duty may carry a firearm on the Star Ferry. (Star Ferry Company By-Laws, By-law 13). 8. A. The maximum financial claim in the Small Claims Tribunal is HK$50,000. 9. B. A swimming pool open to the public must be emptied and thoroughly cleaned at least once a year (see s. 11 Swimming Pool Regulations). 10. B. & C. Solicitors and Notaries Public may be registered as civil celebrants in Hong Kong. 76 www.hk-lawyer.org February 2017 • LEGAL TRIVIA QUIZ 法律知識測驗

法律知識測驗 #34

今期的問題集中於香港的憲制和選舉安排。 本刊謹此祝賀吳卓熹，亞洲聯合基建控股有限公司 問題由馬錦德(Douglas Clark)大律師編製。歡迎建議下期問題。 助理法律經理，在法律知識測驗＃33中勝出。

1. 選舉行政長官的選舉委員會由多少人組成？ 6. 終審法院常任法官中，非中國公民的最高百分比是多 A. 10 少？ B. 800 A. 0% C. 1,200 B. 25% D. 20,000 C. 50% D. 75% 2. 根據《基本法》，非香港出生的非中國籍人士必須在香 E. 100% 港居住最少幾年才獲永久性居民身份？ A. 5年 7. 行使言論自由是否可作為褻瀆香港特別行政區區旗的法 B. 7年 律抗辯理由？ C. 10年 A. 是 B. 否 3. 以下哪一組人士沒有資格在香港登記為選民？ A. 囚犯 8. 中國人民解放軍駐香港費用由誰負擔？ B. 任何武裝部隊的成員 A. 廣東省政府 C. 法官 B. 中央人民政府 C. 香港政府 4. 香港特別行政區行政長官的最低年齡要求是多少歲？ D. 中央政府及香港政府共同分擔 A. 20歲 B. 30歲 9. 香港特別行政區政府能否在香港實行外匯管制？ C. 40歲 A. 能 D. 50歲 B. 不能 C. 能，但只在緊急情況 5. 非中國籍的立法會議員佔立法會全體議員的最高百分比 為多少？ 10. 根據《紐約公約》，在香港作出的仲裁裁決是否可在中 A. 0% 國內地執行？ B. 20% A. 是 C. 50% B. 否 D. 沒有國籍規定

競賽規則： 讀者如欲贏取一瓶由Global Vintage Wines Centre提供的 法律知識測驗#33的答案 2007年Ch. La Croizille葡萄酒，請將問題答案寄交 1. C. 麥基利哥死後被海葬。 [email protected]。 2. B. 律政司司長古德曼的妻子Fanny死後葬於香港墳場。 首位能提供最多正確答案(答錯的題目不得多於三題)的讀者將成 3. C. 全國人民代表大會常務委員會曾解釋《基本法》5次。 為優勝者。湯森路透就得獎者所作的決定是最終及不可推翻的。 4. A. 是。前高等法院法官李柏儉於2007年被判欺詐罪。 5. B. 終審法院聆訊案件的法官人數最少為4名，但在聆訊開始時必須有5名法官出 席(見《香港終審法院條例》第16(7)條)。 6. C. 在終審法院沒有人有權投決定票(見《香港終審法院條例》第16(6)條)。 7. D. 中國人民解放軍成員、警務人員或緝私人員在天星小輪上當值時可攜帶火器 (見《天星小輪有限公司附例》第13條)。 8. A. 小額錢債審裁處可申索的最高索償額是港幣50,000元。 9. B. 向公眾開放的游泳池每年必須抽乾清潔最少一次(見《泳池規例》第11條)。 10. B. & C. 律師及公證人可在香港註冊為婚姻監禮人。

www.hk-lawyer.org 77 • February 2017

A Journey into the Soul of African American Culture By William Tse, Barrister Andrew Liao SC’s Chambers

Rising Above: The Kinsey African American Art & History Collection

ruth be told, I was initially not very Collection exhibitions are designed Tinterested when I was invited to visit to address large gaps in education in an exhibition on African American art the area of African American History and history, but my lack of interest, in and Arts and highlight the significant hindsight, surprised me. I suspect my accomplishments African Americans fascination caught me off-guard because made in building the US as a nation. while Hong Kong is a cosmopolitan This collection plays an indispensable city, there appears to be relatively few role in highlighting African American’s exhibitions of this kind for one to learn contribution to modern-day America about African American art and culture. by documenting in an emotionally- impactful way their endless struggle to This revelation also piqued my interest break free from the shackles of slavery in learning more about why such a high and achieve equal protection under the profile exhibition would choose to host law. its international debut in Hong Kong. After some research, I learnt that “Rising When I arrived at the University Museum Above: The Kinsey African American Art & and Art Gallery on Bonham road where History Collection” is a rare and insightful the Kinsey Collection is showcased, I was collection privately owned by Bernard and particularly attracted by the Collection’s Shirley Kinsey. Their collection has over books and letters which allow me to 120 items including poems, paintings, catch a glimpse of the life stories of a sculptures, manuscripts, personal letters diverse group of African Americans. as well as official documents spanning From slaves to poets to activists to over 400 years of African American artists, all seemed to offer up their skills history. I also discovered that the Kinsey to challenge an untenable status quo.

78 www.hk-lawyer.org February 2017 • LAWYERS AT LEISURE 律師閒情

One of the most remarkable exhibits, preconceived notions about was a letter dated 1839 titled “Henry people who are visibly different Butler Buys the Freedom of His Wife to us. History has again and and Four Children for $100”. The title again shown a base tendency of immediately captured my attention: it is homogenous groups to attribute unfathomable that the appalling system negative qualities to those of slavery was still in place in the US just who can be easily identified two centuries ago. How could a country as different or the “other”. that purports to be built on the notion Sometimes it is easy to view that all men are created equal, which those who do not conform to is decried to be “an unalienable right”, our standards to be uneducated, callously deny this right to so many? I uncultured or dangerous. was also shocked to discover that a We tend to forget that those healthy and childbearing slave could be “others”, like us, are capable of sold at a market rate of $1,800 at that achieving great things if given time, highlighting the horrific system of the opportunity. is the story of Ignatius Sancho who was treating a human being as property to In this regard, the Kinsey Collection has born on a slave ship in 1729 and rose be bought and sold based on the colour done an amazing job in showcasing above all adversity to become the first of their skin. In the midst of the darkness and acknowledging the extraordinary African to vote in a British election. In of these stories, I was heartened to learn achievements by African Americans addition to these remarkable accounts, that Henry Butler was able to buy his throughout history. For instance, the there are a variety of other remarkable family’s freedom from his slave owner. collection features the story of Phillis stories in the Kinsey Collection waiting to This letter is truly extraordinary because Wheatley who left her home in Africa for be discovered and reflected upon. of Butler’s determination and the slave North America at the age of seven and owner’s small, albeit compassionate, At the end of the exhibition, I cannot eventually became the first published step away from an otherwise inhumane agree more with Kinsey’s statement African American female poet. Through system. It serves as a reminder of our which aptly encapsulates its essence – her stunning achievements, Phillis ability to be humane and compassionate, that deep down “we are more alike than contributed in her own unique way to no matter how difficult it might seem at we are dissimilar.” I truly believe that if the advancement of African Americans that time. It also illustrates, after all, that we bear this principle in mind in all our at a time when they were being this simply is a matter of choice. interactions with others, whether they unconscionably oppressed. Her story are from South East Asia, Africa or other In addition to highlighting our illustrates how anyone can flourish if parts of the world, our interactions will capability to be selfless and caring in given the opportunity to do so: success, surely be one filled with mutual respect, an unjust world, I think an important just like the sun, can shine on anyone joy and compassion. From that, we purpose behind the Kinsey Collection who is allowed and has the gumption will stop viewing ourselves as separate is to challenge us to put aside our own to step towards its light. Similarly, there individuals in an increasingly isolated world but rather, as part of the human race. I wholeheartedly recommend you to take the time to visit the Kinsey Collection. n

Rising Above: The Kinsey African American Art & History 9 December 2016–26 February 2017 University Museum and Art Gallery The University of Hong Kong 90 Boham Road, Hong Kong

www.hk-lawyer.org 79 • February 2017 窺視非洲裔美國人文化的靈魂

作者 謝兆宗大律師 廖長城資深大律師事務所

水盡雲起—金賽收藏之非洲 裔美國人的藝術及歷史

邀參觀非洲裔美國人藝術及歷史 這也激發了我的興趣，想知道為什麼這樣 巴特勒以100美元買到妻子和四個孩子的 獲展覽，說實話最初我不是很感興 高調的展覽會選擇在香港舉行國際首展。 自由」。標題立即引起了我的注意：駭人 趣，但事後來看，當初對此缺乏興趣令 經過一番研究，我了解到「水盡雲起—— 聽聞的奴隸制度，兩世紀前在美國仍然存 我感到驚詫。我想，對此著迷令我出奇不 金賽收藏之非洲裔美國人的藝術及歷史」 在，簡直不可思議。一個聲稱建立於人人 意，因為儘管香港是個國際大都會，但似 是Bernard和Shirley Kinsey的罕有私人藏 生而平等、被賦予「不可剝奪權利」概念 乎這類關於非洲裔美國人藝術和文化的展 品。他們收藏了超過 120件藏品，包括 的國家，怎可無情地否定這麼多人的權 覽少之又少；不過，我可能錯了。 詩歌、繪畫、雕塑、手稿、私人信件，以 利？我也震驚地發現，一個健康和有生育 及超過400年的非洲裔美國人歷史的官方 能力的奴隸，當時可以1,800美元的市場 文件。我還發現，金賽收藏展覽旨在針對 價格出售，展示了根據膚色將人類當作 非洲裔美國人歷史／藝術教育方面的巨大 財產買賣的可怕制度。在這些黑暗的故事 差距，突顯非洲裔美國人在建立美國方面 中，我很高興得知，亨利‧巴特勒得以從 的重大成就。這些藏品記錄了非洲裔美國 他的奴隸主那裏，買下他的家庭的自由。 人無休止的鬥爭，擺脫奴隸制的束縛，實 這封信與別不同，因為巴特勒的決心和奴 現法律平等，展示他們對現代美國的貢獻 隸主的惻隱之心，讓他們脫離了不人道的 功不可沒。 制度。它提醒我們，無論當時情況有多困 難，人們仍有能力保持人性和惻隱之心， 甫抵達般咸道香港大學美術博物館，我便 也說明這只是一個選擇的問題。 特別被書籍和信件藏品吸引。它們讓我一 窺不同群體的非洲裔美國人的生活故事。 除了強調我們在不公平的世界仍有無私關 從奴隸、詩人、激進份子到藝術家，都似 懷的能力，我認為金賽藏品背後的一個重 乎獻出了他們的技能，以挑戰無法維持 要意義，是挑戰我們對明顯不同的人放棄 下去的現狀。其中最引人注目的展品之 一，是一封1839年的信，題為「亨利‧

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先入為主的觀念。歷史一次又一次顯示， 單一群體經常傾向將負面特質歸屬於那些 易於被視為不同的人或「其他人」。對那 些不符合我們的標準的人，有時我們很容 易視他們為沒有受過教育、沒有文化或危 險。我們傾向於忘記那些「其他人」，但 他們像我們一樣，如果得到機會，同樣能 成就偉業。

在這方面，金賽藏品充分展示和肯定了非 洲裔美國人在歷史上的非凡成就。例如， 展覽展示了Phillis Wheatley的故事，他在 7歲的時候離開非洲的家來到北美洲，最 終成為首位非裔美國女性出版詩人。通過 她的驚人成就，Phillis以其獨特的方式， 對非洲裔美國人被奴隸制度壓迫時期的進 步作出貢獻。她的故事說明，任何人如果 獲得機會，就可以發揮潛能：成功，就像 太陽一樣，可以照耀任何被允許的人，朝 著陽光欣欣向榮。Ignatius Sancho的故事 也一樣，他於1729年在一艘奴隸船上出 生，克服所有逆境，成為首位在英國選舉 中投票的非洲人。除了這些卓越的事蹟， 金賽收藏還有各種其他傑出的故事，等待 被發現和反省。

參觀展覽後，我完全同意金賽的說話，恰 恰涵蓋了這系列藏品的精髓 – 在內心深 處，「我們相似之處比不同之處多」。我 真心相信，如果我們與他人互動時堅持這 個原則，無論他來自東南亞、非洲還是世 界其他地區，我們的互動必將充滿尊重、 快樂和同情。由此，在一個日益孤立的世 界中，我們將停止自視為獨立的個體，而 是人類的一部分。我全心全意推薦各位抽 空參觀金賽收藏展覽。n

水盡雲起—金賽收藏 之非洲裔美國人的藝 術及歷史

2016年12月9日至2017年2月26日 香港大學美術博物館 香港薄扶林般咸道90號

www.hk-lawyer.org 81 • February 2017 Postcards from 8 Jackson Road By Jenkin Chan, Solicitor Foo and Li

“What barrister would leave a decent practice, to endure, even as a Judge, the climate and society of Hong Kong?“ – London Weekly Dispatch 15 June 1851

hile the Law Society of Hong Kong position”. On retirement, he also secured exciting a riot after beating Chinese Wwill celebrate the 110th anniversary a handsome pension of £1,500 p.a. (See officers, thus reversing Governor Davis’ of its incorporation this year, the history Christopher Munn: ‘Dictionary of Hong confirmation of the fine. “As will be seen of Hong Kong’s legal profession dates Kong Biography’ ed. by May Holdsworth hereafter, this case formed the subject of back-half century before 1907. Sketches and Christopher Munn, 2010). recriminations between the Chief Justice, of information about the pre-1907 who had properly refused to be dictated legal profession can be found in The The Case of Governor Davis to, and the Governor, ending in the latter Law Society of Hong Kong 1907–2007: vs CJ Hulme formulating a charge of drunkenness Celebrating A Centenary (2007) (The When the first Chief Justice Hulme and against Mr. Hulme.” Law Society of Hong Kong publication). the second Governor, Sir John Davis An enquiry by the Executive Council This article recounts some of the more (1795–1890) departed England for in November, 1847, presided by the interesting forensic vignettes of the often Hong Kong to take up the most senior Governor, was held to hear the charges forgotten past. colonial positions, they were on board the of habitual drunkenness and eventually same liner, H.M.S. Spitfire. However, at found against Hulme. The political The First Chief Justice Bombay, Governor Davis had instructed wind in the Colony at the time was The Colonial Office had great difficulty Hulme and his family to make their blowing in favor of the Chief Justice in finding a judge willing to come to separate way to Hong Kong because as he was supported by the English this far-off and barren Oriental island. of a shortage of room aboard. This had community, the legal profession and In fact, Hong Kong’s first Chief Justice, not only cost Hulme £250, but also the Chinese merchants Davis despised, John Walter Hulme (1795–1861) of the underlain their protracted rivalry in the while the Governor, unpopular with his Middle Temple, came to Hong Kong on new British colony. The trigger point for introduction of the new registration 7 May 1844, having secured for himself the rivalry to surface was the ruling of ordinance imposing a toll tax on all a high salary of £3,000 p.a., in spite Hulme to allow the first appeal against inhabitants, Europeans and Chinese alike, of only having very “little if any judicial the decision of the British Consul at had the support of only a few. Hulme experience in England and reportedly Canton by a British merchant, Charles was suspended from his position by [being] at least the eighth choice for the Spencer Compton, who was fined for the Governor and returned to England.

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Rather unexpectedly, Earl Grey, the they might as well pack up and go back The First Chinese Family of Secretary of State, refused to uphold to England, for as I had a complete Lawyers the verdict and reinstated Hulme who knowledge of both English and Chinese Rev. Ho Fuk Tong (1817–1871), the son of soon returned to Hong Kong in triumph I would eventually monopolise all the a press block-cutter, was the first pastor in 1848. Davis had already tendered his Chinese legal business. So they made it ordained in Hong Kong in 1846 and the resignation in November 1847 and left in too hot for me to continue in my studies father of five sons and six daughters. disgrace, ending the Colony’s first judicial … I was between two fires… .” When the London Missionary Society scandal. (See J.W. Norton-Kyshe, History Eventually the disgruntled Yung moved to Hong Kong, Rev. James Legge of the Laws and Courts of Hong Kong from Wing abandoned his legal studies gave the printing business of books of the the Earliest Period to 1898 (1898) (reissued and in August 1856, departed for the Bible to Rev. Ho, which made him wealthy. 1971)). tumultuous Shanghai where he began With astute investment in real estate, a successful political pursuit in China. The Misfortune of a Young Rev. Ho was able to accumulate his He was renowned for his creation of the wealth to such an extent that at his Chinese Yale Graduate study programme known as the Chinese death in 1871, his estate was worth some Yung Wing (1828–1912), a young Chinese Educational Mission, a pioneer in sending HK$150,000, being one of the largest man, who had recently graduated from some 120 children to study in America. estates up to that date, leaving a trail of Yale College (1854) and was the first (See Yung Wing, My Life in China and probate suits (see Carl T. Smith, Chinese Chinese who had ever been known to go America (1909). Christians: Elites, Middlemen, and the through a first-class American college, Further insight into the British Church in Hong Kong (1985)). What makes came to Hong Kong to find a position in community’s attitude towards Chinese Rev. Ho’s family notable in Hong Kong 1855. His first job was as an interpreter becoming lawyers in early Colonial years legal history is keeping the record of in the Supreme Court, earning HK$75 a can be gleaned from the letter of a Hong having three local lawyers of the earliest month. It was when he made up his mind Kong legislative councillor, J.F. Edger to ranking. to become a solicitor that he realised his friend, W. T. Mercer dated 24 June Rev. Ho’s eldest daughter, Ho Mui Ling, that he had ‘stepped on the toes of the 1856 which reads: “Above all I object to married Ng Choy (1842–1922) (or better British legal fraternity’. He had made two the admission of Chinese as Attorneys known in China as Wu Ting-fang), an formidable enemies, though none of in our Courts of Law. They are a peculiar interpreter of the Supreme Court of Hong his own doing, without which he would race of people, and in my opinion are Kong since 1862. With his wife’s financial probably have become the first Chinese generally crafty, corrupt, mendacious and support, Ng then went to study for the solicitor in Hong Kong. deficient in those qualifications which are Bar in England where he was called at The first enemy happened to be the needful in a trustworthy legal adviser… Lincoln’s Inn in 1877. Ng returned to Hong incumbent Attorney General, Thomas .” (See Peter Wesley-Smith, Precarious Kong and became the first Chinese to Chisholm Anstey, who was angered by his Balance: Hong Kong Between China and qualify as a barrister (he was number wasted effort on Yung (unknown to Yung), Britain 1842–1992 (ed. by Ming K. Chan) 28 on the Roll of Barristers). He was as Yung chose to be apprenticed to an (1994)). admitted to practise in Hong Kong on attorney instead of him. Yung lamented in his memoir: “[Anstey] wanted me to apprentice myself to him, for he did all he could in his capacity as attorney-general of the Colony to use his influence to open the way for me to become an attorney, by draughting a special colonial ordinance to admit Chinese to practice in the Hong Kong Colony as soon as I could pass my examinations.” The second enemy was a man-made wall against which Yung felt so powerless as in his memoir, he recalled: “all the attorneys banded themselves together against me, because, as they openly stated in all the local papers except the China Mail, if I were allowed to practice my profession,

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18 May 1877. He was also appointed the first Chinese unofficial member of the Legislative Council in 1880 and was the first Chinese to hold the post of magistrate. Ng, as a go-between for the Chinese community, was believed to have more influence than the Governor. His later participation in the China’s Self-Strengthening Movement and the Chinese Revolution of 1911 earned him the post of the Chinese Minister to the US, Peru and Spain in 1896 and the Minister of Justice in Sun Yat-sen’s first cabinet. He was famous in China’s modern history for drafting the Qing commercial code of 1904 and procedural code of 1906 (see Carroll, Dictionary of Hong Kong Biography). Airport), he died penniless in 1914 (see Chinese Christians: Elites, Middlemen, and G.H. Choa, The Life and Times of Sir Kai Ho the Church in Hong Kong). Ho Kai, Sir Kai (1859–1914), the fourth Kai (2d ed. 2000)). son of Rev. Ho, qualified as a physician Horse Racing Overriding Court Rev. Ho’s third son, Ho Wyson also (trained at Aberdeen University) and a Hearing barrister (of Lincoln’s Inn in 1882) and was studied law in England and was a solicitor Horse racing is a common hobby among the second Chinese barrister (number admitted there in 1887. He returned judges and lawyers in Hong Kong, now 33 on the Roll of Barristers). He was to Hong Kong and on 23 August 1887 and then. As for its impact upon the City, admitted to practice in Hong Kong on and became the first Chinese solicitor the Hong Kong Telegraph’s editorial team 29 March 1882 (see Norton-Kyshe, History admitted in the Supreme Court (number on 2 March 1882 had this to say: “The of the Laws and Courts of Hong Kong 46 on the Roll of Proctors, Attorneys and excitement of the race week has passed from the Earliest Period to 1898). With his Solicitors) (see Norton-Kyshe, History away, leaving the Colony to lapse into reformist personality and revolutionary of the Laws and Courts of Hong Kong its customary comatose condition which spirit, he was described as “the archetype from the Earliest Period to 1898). It would will know no change until the birth of a of a new generation of Chinese in Hong seem that Ho Wyson was more inclined next racing season!” (see Voices from the Kong” (see Elizabeth Sinn, Power and to enjoying life than attending to his law Past Hong Kong 1842–1918 (selected and Charity: A Chinese Merchant Elite in practice. He was said “to be handicapped annotated by Solomon Bard (2002)). Colonial Hong Kong (2003)). in court practice by a bashful modesty and a deficiency in what is known as the Yet for racing to usurp the judicial duty Like his brother-in-law, Ng Choi, Ho gift of gab … and also handicapped in imposed upon colonial judges would Kai was also interested in the political general business by his phenomenally seem incredible to non-punters present reforms evolving with China’s rapid limited office hours. It is a joke in legal in the court room of Chief Justice John change. But unlike Ng, he stayed in Hong circles that Wyson’s hours are from twelve Jackson Smale (1805–1882) who, on Kong to pursue his ideals and became a to three, with an interval of one hour 18 February 1867, found himself prominent Chinese community leader. for tiffin” (see Smith, Chinese Christians: reluctantly but readily adjourning court He was said to have influenced Sun Elites, Middlemen, and the Church in Hong hearings during Race week. In support of Yat-sen when Sun was a student at the Kong). such adjournment, the Attorney General College of Medicine for Chinese in Hong cited as authority the Derby Day case, Kong. His great contributions to Hong Ho Yow, the youngest son of Rev. Ho, when all business was suspended by Kong lie in establishing hospitals and was articled to his brother, Wyson, but common consent of the Crown and the providing medical care and medical instead of becoming a solicitor, he chose people. The CJ quipped: “Yes, but here education. The Colonial Office awarded to follow his brother-in-law, Ng Choi, to we encroach upon the English habit him with a knighthood, the first Chinese the US, where he was appointed Consul- by taking unlawful possession of three resident in Hong Kong to be so honoured. General in San Francisco. He went on to days.” (See Norton-Kyshe, History of the Unfortunately, due to his failure in various prosper as a businessman in promoting a Laws and Courts of Hong Kong from the business projects (such as the Kai Tak large corporation, the Chinese American Earliest Period to 1898). n Bund later reclaimed as the Kai Tak Commercial Company (see Smith,

84 www.hk-lawyer.org February 2017 • ASIDE 隨 筆 寄自昃臣道8號的明信片

作者 陳少勳律師 李鳳翔律師事務所

“甚麼可以促使律師放棄他高尚的法律事業，前往香港忍受(即使是作為法官)那 兒的氣候和社會環境？” - London Weekly Dispatch 15 June 1851

港律師會行將慶祝成立110週 「司法資歷並不深，據說在該些申請出 家人另行取道前往香港。此舉不僅導致 香年，而香港的法律發展史，則可 任這首席按察司職務的人選中，他至少 休姆需要額外支付250英鎊的旅費，更 追溯至較1907年再早半個世紀。1907 排名第八」。退休後，他亦獲發每年 為這二人其後在這個新英國殖民地的長 年以前的香港法律界資料及其梗概，讀 1,500英鎊的可觀退休金。(參見Christo- 期對立埋下了伏綫。他們之間的衝突變 者可參閱香港律師會所出版的The Law pher Munn:‘Dictionary of Hong Kong 得白熱化的觸發點，是休姆判英國商人 Society of Hong Kong 1907-2007: Biography’ed. by May Holdsworth and Charles Spencer Compton就廣州英國 Celebrating A Centenary (2007)。本文 Christopher Munn, 2010)。 領事所作之決定而提出的上訴得直(他因 嘗試回顧一些在過去發生，但卻經常被 毆打華人官員及其後煽動暴亂而被罰款) 遺忘的香港法律界的有趣軼事。 港督戴維斯與首席按察司休姆之 ，從而推翻了港督戴維斯對該項罰款決 間的不和 定所作的確認。正如下文所指出的，該 香港第一位首席按察司 休姆這位第一任香港首席按察司，他與 案成為了首席按察司(他拒絕接受操控的 英國的殖民地部好不容易才找到一位法 香港的第二任港督戴維斯爵士(Sir John 做法是正確的)與總督之間相互指責的標 官願意到這一偏遠而貧瘠的東方小島 Davis,1795-1890)，一同從英格蘭乘 的，後來更導致戴維斯欲以酗酒罪名來 來服務。香港的第一任首席按察司休姆 坐皇家海軍戰艦噴火號(H.M.S. Spitfire) 將休姆入罪。 (John Walter Hulme,1795-1861)於1844 前來香港，出任這殖民地的最高級官 在一次於1847年11月舉行的行政局研訊 年5月7日到香港履新，領取每年3,000 員。然而，當該艘軍艦到達孟買後，由 中(該研訊由戴維斯主持)，審視了一項 英鎊的優厚薪俸。然而，休姆在英國的 於船上房間不足，戴維斯要求休姆及其 向休姆提出的經常性酗酒指控。最後，

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該局裁定有關指控成立。由於當時在港 他非常惱怒容閎(但這事並不為容閎所 Precarious Balance: Hong Kong Between 的英籍人士、香港法律界，以及戴維斯 知)。容閎在他的回憶錄中曾感嘆道： China and Britain 1842–1992 (ed. by 一向瞧不起的華籍商人，均對這名首席 「[Anstey]希望我能拜他為師，而他亦盡 Ming K. Chan) (1994)). 按察司表示支持，故在當時的政治情 了他作為這殖民地的律政司的所能，運 勢下，休姆是稍佔上風；而另一方面， 用其影響力來為我開闢我的律師之路。 香港首個華人律師家族 港督戴維斯當時擬訂一項新登記條例， 他草擬了一條特別的殖民地條例，讓華 何福堂牧師(Rev. Ho Fuk Tong, 1817- 欲向所有香港居民(包括歐洲人和華人) 人可以在這個英國殖民地獲得認許成為 1871)育有五名兒子和六名女兒，他的父 徵收通行稅。由於這項條例只獲得少數 律師。他的此舉，目的就是讓我可於通 親是從事印刷業的雕刻底板工作。1846 人的支持，故戴維斯在當時較為不得人 過考試後，據此獲得認許成為律師。」 年，何福堂牧師成為首位在香港被按 心。後來，休姆遭戴維斯停職，最後他 立的牧師。當「倫敦傳道會」(London 容閎所面對的第二個敵人，是一道人為 返回英國。但意想不到的是，當時的英 Missionary Society)遷到香港後，理雅各 築起的牆，而這道牆，令他產生了強烈 國國務大臣Earl Grey拒絕支持戴維斯的 牧師(Rev. James Legge)將印刷聖經書籍 的無力感。他在回憶錄中寫下了這樣的 決定，並將休姆復職。不久之後(1848 的工作交予何福堂牧師負責，使他得以 一段話： 「所有律師都齊起反對我。 年)，休姆以勝利者的姿態重臨香江；但 因此致富。何福堂牧師憑著其在房地產 他們在除了《中國郵報》以外的所有本 此前，戴維斯已於1847年11月提出呈 方面的精明投資，累積了可觀的財富。 地報章發表談話，指我如果獲得准許進 辭，並在不光彩的情形下離職。至此， 當他在1871年去世時，遺下了約值15萬 入香港法律界，因著我通曉中、英語的 這殖民地所發生的首宗司法醜聞終告落 港元的財產，這在當時，是其中一筆金 緣故，我將會壟斷所有涉及華人的法律 幕。(參見 J.W. Norton-Kyshe, History 額最龐大的遺產，並且引發了一連串的 業務，而那時他們便可能需要執包袱回 of the Laws and Courts of Hong Kong 遺囑認證訴訟(參見Carl T. Smith, Chinese 英國。所以，他們設法令我難以繼續在 from the Earliest Period to 1898 (1898) Christians: Elites, Middlemen, and the 法律界待下去……我那時真的是感到四 (reissued 1971))。 Church in Hong Kong (1985))。何福堂 面楚歌……」 家族在香港的法律史上，佔有不可忽視 一位在耶魯大學畢業的中國年青 最後，即使是深深不忿，容閎也只好放 的地位，原因是它保持了一項紀錄：在 人的人生際遇 棄了他的原來計劃，於1856年8月離 香港最早期的本地華人律師中，有三人 一位年輕中國人在1854年剛從美國耶 開香港，前往當時局勢動蘯的上海，並 是來自這個家族。 魯大學畢業。翌年(1855年)，他前來香 在那兒開展了他成功的中國政治事業。 何福堂牧師的長女何妙齡女士與伍才 港謀職，而他的名字叫容閎(Yung Wing, 他對中國的其中一個重大貢獻，是推動 (Ng Choy, 1842-1922)結婚，而伍才就 1828-1912)。就目前所知，他是首位 了一個名為「中國教育使團」(Chinese 是中國人所共知的伍廷芳。他自1862年 於美國最優秀學府畢業的中國人。容閎 Educational Mission)的教育計劃，而他亦 開始，擔任香港最高法院的傳譯員。其 的首份工作，是在香港最高法院擔任傳 成為中國派遣幼童前往外國留學的先驅 後，他獲得妻子的經濟支持，前赴英倫 譯員，月薪75港元。然而，在他決志成 (那次共有大約120名兒童被安排前赴美 修讀法律，並於1877年獲得英國林肯 為律師的那一刻開始，他發覺自己已「 國受教育)。(參見 Yung Wing, My Life in 法律學院(Lincoln’s Inn)頒授大律師資 觸動了該些在港的英國法律圈中人的利 China and America (1909)。 格。回到香港後，伍才成為了香港首位 益」。那時，他面對著兩個讓他難以抵 要進一步了解早期的香港英籍人士對華 華人大律師(在當時的大律師名冊上，他 禦的敵人(雖然這並非他自招)，而若非這 人成為律師，抱持怎樣的看法，可以從 排名第28)。1877年5月18日，他獲准 兩個敵人，他可能已成為香港的首位華 香港立法局議員J.F.Edger於1856年6月 在香港執業；1880年，他獲委任成為 人事務律師。 24日寫給他的朋友W. T. Mercer的一封 香港首位立法局華人非官守議員，亦是 他所面對的第一個敵人，也許就是當時 信函中略知一二：「無論怎樣，我都反 香港首位華人裁判法院法官。伍才活躍 的律政司Thomas Chisholm Anstey。事 對讓華人在我們的法院中擔任律師。他 於華人社會，甚至被認為較諸香港總督 實上，Anstey曾花了不少心血來栽培容 們是一個特殊的人種，在我看來，他們 更具影響力。不久，他投入中國的「自 閎，但最後，容閎投向別的律師門下， 很多都是狡猾、貪腐和不誠實的人，欠 強運動」和1911年的中國辛亥革命，其 沒有將他視作師傅，這讓他感到自己 缺作為一位受人信賴的律師所需具備的 後更成為中國駐美國、秘魯、西班牙的 在容閎身上所花的心血是白費了，因此 品格……。」(參見 Peter Wesley-Smith, 公使，以及孫中山先生首任內閣的司法

86 www.hk-lawyer.org February 2017 • ASIDE 隨 筆

何福堂的幼子何祐(Ho Yow)在其兄長 何衛臣那兒當見習律師，但最後，他 並沒有選擇在法律界執業，而是追隨 他的姐夫伍才前赴美國，其後更被委 派擔任舊金山總領事。他後來進入了商 界，為一家大型企業Chinese American Commercial Company拓展業務，成為 了一名成功商人 (參見 Smith, Chinese Christians: Elites, Middlemen, and the Church in Hong Kong)。

法庭聆訊被賽馬活動所凌駕 無論是過去還是現在，賽馬活動皆為香 港的法官和律師所極度鍾愛。關於這項 活動對香港這城市所具有的影響，《香 港電訊報》(Hong Kong Telegraph)的編 部長。他在1904年及1906年，為清廷 醫院、醫療服務提供、醫療教育的推廣 輯組於1882年3月2日時曾作出如下報 分別起草了《商事法》與《訴訟法》， 等方面，皆對香港貢獻良多。英國殖民 導：「這星期的激烈賽事所帶給人們的 而此等功績，使他在中國的近代史中赫 地部曾經頒發騎士勳章給何啟，而他也 亢奮已成為過去。一如既往，這個殖民 赫有名(參見 Carroll, Dictionary of Hong 是首位香港華人獲得這一殊榮。不幸的 地再度陷入昏沉狀態，在下一個賽季來 Kong Biography)。 是，由於在某些投資項目上失利(例如： 政府後來將啟德濱(Kai Tak Bund)收回作 臨之前，將不會看到有任何起色！」 何啟爵士(Ho Kai, Sir Kai 1859-1914)是 興建啟德機場之用)，他在1914年去世 然而，賽馬活動會對殖民地法官履行其 何福堂牧師的第四子。他既是醫生(其資 時，竟已變得不名一文 (參見 G.H. Choa, 司法職能造成妨礙，這對於首席按察司 格由英國阿伯丁大學頒授)，也是一名大 The Life and Times of Sir Kai Ho Kai (2d 司馬里爵士(John Jackson Smale, 1805- 律師 (其資格於1882年由林肯法律學院 ed. 2000))。 1882)，以及在他的法庭出庭的非賽馬愛 頒授)，並且是香港第二位華人獲得認許 好者而言，卻似乎是難以想象的。1867 成為大律師(在當時的大律師名冊上，他 何福堂牧師的第三子何衛臣(Ho Wyson) 年2月18日，司馬里爵士在不情願的情 排名第33)。1882年3月29日，他獲准 也同樣是前往英國修讀法律。1887年， 況下，決定將有賽馬活動舉行的該星期 在香港執業(參見Norton-Kyshe, History 他在英國獲認許成為事務律師。1887年 內的法庭聆訊押後。當時的律政司更援 of the Laws and Courts of Hong Kong 8月23日，他返回香港，並在最高法院 引Derby Day一案作為理據，表示支持 from the Earliest Period to 1898)。他憑 獲得認許，成為香港首位華人事務律師( 法庭將相關聆訊押後。該案裁定，基於 著自身的改革主義作風和革命精神，被 在代訴人、代辯人及事務律師名冊上， 政府與人們的共同意願，所有商業活動 尊稱為「香港新一代中國人的典型」 (參 他排名第46)(參見Norton-Kyshe, History 在「打比日」當天均告暫停。司馬里爵 見 Elizabeth Sinn, Power and Charity: A of the Laws and Courts of Hong Kong 士戲稱：「沒錯，但我們現在是不合法 Chinese Merchant Elite in Colonial Hong from the Earliest Period to 1898)。然 地佔用了三天時間，這破壞了英國的傳 Kong (2003))。 而，與他的法律事業比較，何衛臣更嚮 往的，似乎是享受自己的個人生活。 統習慣。」(參見 Norton-Kyshe, History 何啟也與其姐夫伍才一樣，十分關心急 當時有評論指他「羞怯內向，缺乏口 of the Laws and Courts of Hong Kong 速變化的中國社會中所進行的政治改 才……投入正常工作的時間過少。法律 from the Earliest Period to 1898). n 革。然而，他與伍才的不同之處是，他 圈中人戲謔，何衛臣每天的工作時間是 選擇留在香港追求自己的理想，其後更 十二點至三點，中間還得留一個小時吃 成為了香港社會的一位傑出華人領袖。 午飯」 (參見 Smith, Chinese Christians: 據說，孫中山先生在香港西醫書院學醫 Elites, Middlemen, and the Church in 時，也曾受到何啟的影響。何啟在興建 Hong Kong)。

www.hk-lawyer.org 87 In-House Private Practice

M&A/COMMERCIAL HONG KONG 6+ years M&A PARTNER HONG KONG 10+ years

Reputable hospitality MNC seeks a mid-to-senior level corporate lawyer. US firm is seeking an M&A Partner to build and lead a team in Hong Kong. Role will cover M&A, commercial contracts, risk & compliance. Corporate/ Solid deal experience in cross border transactions is required. Chinese commercial experience & exposure to the construction industry required. language skills helpful but not essential. Entrepreneurial environment with Attractive benefits on offer. Chinese language advantageous. HKL5992 cohesive, full service partner team & US rates on offer. HKL4892

M&A HONG KONG 6+ years ENERGY PARTNER HONG KONG 10+ years

Leading MNC is looking for a mid to senior level corporate M&A lawyer. UK firm is looking for an Energy partner. Counsels looking for partnership You will advise on M&A, JVs, financial services, regulatory & general or a junior partner from an international law firm are of interest. Quality commercial matters in the region. Prior experience working in Asia and experience in oil and gas, and Mandarin skills are essential. Portable book Commonwealth qualification are essential. HKL6051 of business is advantageous. HKL6285

DERIVATIVES HONG KONG 6-10 years LITIGATION PSL HONG KONG 4+ years

Bulge-bracket bank seeks a senior lawyer with equity derivatives A leading international law firm looking to hire a Litigation PSL to join its transactional & regulatory experience gained from a top tier law firm or HK office. You will have strong disputes experience including commercial another financial institution. Chinese language skills are not required. & financial services litigation from a peer firm, fluent English & be admitted Strong overseas candidates will also be considered. HKL6299 in a Commonwealth jurisdiction. HKL6205

LITIGATION/REGULATORY HONG KONG 6-10 years LITIGATION/INSOLVENCY HONG KONG 2-4 years

Top tier i-bank seeks a mid to senior level financial services litigator to US firm seeks an associate to join them in a mixed commercial and insolvency handle contentious matters, conduct internal investigations & liaise with litigation role. Reputable team & quality work in the restructuring/insolvency regulators. You wil have gained experience from an international law firm, space on offer. Either commercial or insolvency litigation experience will be financial institution or regulator. Chinese language preferred. HKL6310 considered. Mandarin proficiency is essential. HKL6275

ACQUISITION FINANCE HONG KONG 5-10 years BANKING & FINANCE HONG KONG 3+ years

Well-known PRC financial institution in HK seeks a mid-level lawyer. Role Well-established global law firm seeks mid-level banking lawyer. Role includes advising on cross-border M&A financing transactions. You must includes a broad range of banking & finance work, with a focus on lending. be HK or PRC qualified, familiar with financing documentations & relevant Strong general banking experience from an international or reputable HK regulations. Fluency in English and Mandarin is essential. HKL6300 law firm will be considered. Fluent Mandarin essential. HKL1448

FUNDS HONG KONG 5-10 years LITIGATION HONG KONG 2+ years

Top tier global asset manager seeks a legal counsel to join its team. Top tier US firm seeks litigation associate with disputes related experience, You will have experience in a broad spectrum of funds work, including excellent academics and trained at a peer firm. You will focus on government both authorized and private funds, distribution, regulatory and general investigations, regulatory compliance, international disputes & FCPA commercial work. Mandarin would be a bonus but not essential. HKL6148 related matters. Asian language essential. US rates on offer. HKL6297

ADVISORY/REGULATORY HONG KONG 2-4 years CORPORATE HONG KONG 1-3 years

Excellent opportunity to join a regulator to focus on commercial & regulatory International firm seeks junior associate for the corporate team. This matters. Strong academics & solid experience gained from an international role involves a diverse mix of corporate work, including capital markets firm are essential. We will consider candidates with a regulatory or M&A and M&A, general commercial and compliance matters. Prior corporate background. HK qualification required. Chinese not essential. HKL6290 experience gained from another reputable team is essential. HKL5727

This is a small selection of our current vacancies. Please refer to our website for a more comprehensive list of openings. Please contact Lindsey Sanders, [email protected] +852 2537 7409 or Eleanor Cheung, [email protected] +852 2537 7416 or Karishma Khemaney, [email protected] +852 2537 0895 or email [email protected]

www.lewissanders.com

MICHAEL PAGE LEGAL SPECIALISTS IN LEGAL RECRUITMENT

PRIVATEMEET THE PRACTICE TEAM IN-HOUSE, CORPORATE IN-HOUSE, CORPORATE FINANCIAL SERVICES Banking & Finance Associate Corporate Finance Associate Senior Group Legal Counsel Legal Counsel Private Equity Lawyer Corporate Lawyer › 2 PQE › 3+ PQE › 12-20+ PQE › 5+ PQE › 3-8 PQE › 4-8 PQE › International Law Firm › Well-established Hong Kong Firm › Reputable Global Retailer › Hong Kong Listed Property Developer › Fund House › Investment Bank A large UK based law firm is hiring a junior banking lawyer. A new associate opening has arisen in a reputable corporate A well regarded global retailer is currently seeking for a A market leader in the Hong Kong property market with Our client is a private equity house with a sizable fund Our client is a sizable investment bank seeking to take on a Joining the firm’s Banking and Finance team, you will practice group within a large Hong Kong based law firm. In senior group counsel with a view to be promoted to General multiple active construction projects is currently seeking management platform, as well as a very well-established junior to mid-level corporate lawyer, to work closely with the become part of the well-established team consisting of local this team, you will be exposed to high profile clients and with Counsel in the foreseeable future in light of internal changes. a Legal Counsel. Reporting to the Senior Counsel, you will parent company. The current team is headed up by the existing 2 lawyers. Reporting to the Deputy Head of Legal, you and international lawyers. In this role you will be primarily the opportunity to advise a portfolio of blue-chip corporate You will look after a full legal team, with oversight across a provide legal advice on issues relating to construction matters Deputy General Counsel with the support of a paralegal. will advise on a variety of corporate matters, with a focus on responsible for assisting the department head in advising clients on their financial and business strategies. There will full range of corporate commercial matters, including M&A, and participate in the negotiating and drafting of project As business is growing, they are seeking a new private private equity and M&A transactions. You will draft and review on debt restructuring and lending matters. Your daily duties also be a strong focus on assisting Mainland Chinese clients corporate restructurings and major commercial agreements documentation with government and contractors. You will equity lawyer. Reporting to the Deputy General Counsel, related agreements, and be exposed to asset management. will include reviewing loans documentation (bilateral and which are looking to be listed in Hong Kong or overseas. negotiations. You will work with internal and external lawyers also provide legal advice to the relevant businesses in relation you will identify potential risks on legal structure, issues You are required to stay abreast on all local regulatory syndicated) and other ancillary documents, as well as the The ideal candidate will have at least 3 years’ PQE gained in to handle legal matters across 10 European jurisdictions and to statutory and contractual compliance issues. Finally you of private equity investment transactions, and advise the requirements to ensure the Group is in compliance. You will drafting / negotiating of various finance documents and closing the area of corporate law, demonstrating the ability to take 10 Asian jurisdictions. The ideal candidate will be possess will advise on potential disputes arising from the group’s senior management. You will review and negotiate a variety have the opportunity to work closely with various businesses documents.The ideal candidate will be a HK qualified solicitor responsibility for IPO processes from kick off to end. Fluency at least 12 years’ PQE in the area of corporate M&A, with development projects and review all claims. The successful of related documentation and agreements by ensuring they and regulators. The successful candidate will possess at with at least 2 years’ PQE in lending and other debt capital in spoken and written English and Mandarin is a must. experience in leading a small team. Prior in house experience candidate will be a 5+ years’ PQE lawyer with experience are in compliance with internal policies and local regulations. least 4 years’ PQE in the area of corporate, ideally with strong markets matters. You will be able to work independently and Overseas candidates with relevant experience and language obtained with sizable companies is required, and exposure in construction related contentious and non-contentious You will ideally possess at least 3 years’ PQE in the area exposure in the areas of M&A and private equity. Ambition to show good interpersonal and communication skills. Mandarin skills will be considered. Ref: H3819560 to retail industry is highly regarded. Familiarity with local matters. Fluency in spoken and written English and Chinese of private equity and M&A. Any prior experience in other build a career in-house is highly regarded, as is experience gained with sizable law firms or financial institutions. Strong language skills will be highly regarded. Ref: H3827860 and European regulatory guidelines is useful. Excellent (Mandarin and Cantonese) is required. Ref: H3829170 private equity houses is highly advantageous. Strong English communication skills required, as is the fluency in English and interpersonal skills and language skills in English and Chinese and Chinese language skills are required. Ref: H3816170 are essential. Ref: H3759540 Chinese (including conversational Mandarin). Ref: H3828850 Legal Counsel Structured Products Lawyer Banking Loans Lawyer Litigation Associate Debts / Bonds Lawyer Senior Legal Counsel › 3-5+ PQE › 1-8 FQE › 1-6 PQE › 5+ PQE › 5+ PQE › 12-15+ PQE › US Multinational › Top Tier Investment Bank › Established Financial Institution › City Firm › International Law Firm › Hong Kong Listed Conglomerate A well-established US based company specialising in A leading investment bank is keen to take on a structured A sizable financial institution with a legal team of 7 lawyers, A leading international law firm with established offices in Our client is a leading city firm seeking to take on an Our client is a key player in the local and China property and distributing consumer products is seeking a Legal Counsel. products lawyer to join their well-established team. Working is currently seeking for a junior to mid-level banking loans Hong Kong and other major cities within Asia is currently hiring experienced litigator. In this role, you will be responsible for retail markets. Currently seeking a Head of Legal for one of their Joining a team of qualified lawyers and legal support in a team covering the region, you will provide transactional lawyer to join the team. Reporting to the Head of Legal, you an experienced Debt Capital Markets solicitor. This is a newly a range of dispute resolution matters with a focus on banking new business units, the successful candidate will lead a team p r o f e s s i o n a l s w h i l s t r e p o r t i n g t o t h e R e g i o n a l H e a d o f L e g a l , y o u and advisory legal support to a variety of structured products will advise on a variety of banking matters with a focus on created headcount to cope with ambitious business growth in litigation, joint-venture and shareholder disputes related work. of lawyers based in Hong Kong. You will take responsibility will look after legal matters in the Greater China and Southeast such as the drafting and negotiating of structured derivatives bilateral and syndicated loans work, as well as to identify Asia. Reporting to the head of the practice, you will participate You will also have the opportunity to work with high-calibre to strengthen the team as well as to provide legal advice and Asia region. You will draft and review commercial contracts as documentation including ISDA, OTC and securitized format, and to mitigate any legal risk. You will have the opportunity and oversee a variety of debt capital markets work, including fee earners in a collegiate environment offering good work life support to the relevant businesses promoting growth for the well as provide advice on consumer and intellectual property advising on structured products programme including the to work closely with various businesses, in particular with the bonds, fixed income, and general financing transactions. The balance. The ideal candidate will be a Hong Kong qualified organization. Reporting directly to senior management of the laws, compliance and marketing matters. A business partner handling of trade documentation and issuance of these Financing Team. The successful candidate will have at least 1 ideal candidate should possess at least 5 years’ PQE gained solicitor with at least 5 years’ PQE obtained in the area of business with a dotted reporting line to the Group General to relevant stakeholders and country leaders, you will advise products, handling queries from the business and other PQE obtained in the area of banking and loans work, having in the area of debts / banking, whether obtained in Hong Kong litigation, with experience gained in sizable local firms or Counsel, the successful candidate will have at least 12 years’ on projects and other operational matters. You will possess support functions in relation to the programme, and review all worked in sizable law firm. Prior in house financial services or abroad. Candidates with a background in the financial international law firms. You will be well versed with regulatory / PQE in the area of corporate commercial law, ideally with 3+ years’ PQE with solid experience in reviewing commercial related term sheets, distribution agreements/trading platform experience is highly regarded though not mandatory. You will services industry being interested in returning to private financial services matters, being familiar with local regulatory strong business acumen. Solid in house experience within the agreements. The ideal candidate will be a proactive a g r e e m e n t s . T h e s u c c e s s f u l c a n d i d a t e w i l l h a v e a t l e a s t 1 y e a r ’s be a team player with willingness to take on new work. Strong practice are welcomed to apply. Strong communication guidelines. Fluency in English and Chinese is preferred while retail industry is highly regarded, as is a strong track record individual with willingness to be hands-on. Strong language overall experience of structured products. Ref: H3827480 English and Chinese language skills required. Ref: H3828150 skills in English and Chinese are required. Ref: H3831020 conversational Mandarin is advantageous. Ref: H3827670 in handling domestic and China matters. Fluency in spoken skills in English and Chinese is required. Ref: H3823260 and written English and Chinese (Mandarin and Cantonese) is required. Ref: H3778120 Legal Counsel Corporate / Banking PRC Lawyer Corporate Finance Lawyer LOOKING FORWARD TO 2017 › 3-5+ PQE › 3-8 PQE › 7+ PQE › Growing Chinese Company › Financial Institution › Investment Bank Hong Kong’s legal sector enjoyed a steady 2016, and elements of caution did exist as a result of various macroeconomic factors. A Chinese based logistics company with strong global Due to continuous expansion, a reputable and stable financial A top tier investment bank continues to expand within presence is seeking a Legal Counsel to lead their Hong services house is currently seeking to add on a lawyer to the the region. The already established legal team of 7 legal 2017 is expected to trend similarly, with an increasing number of new based-in-Hong Kong Chinese financial services firms seeking legal talent. Buy side will continue Kong legal function. Reporting to the General Counsel, current legal team of 6 lawyers. The successful candidate will professionals is currently seeking to take on a mid to senior to grow within the financial services sector and employers will typically seek talent with asset management, private equity and fund house experience. Given the rising you will be supported by a small team of paralegals. You r e p o r t t o t h e H e a d o f L e g a l , w o r k i n g c l o s e l y w i t h o t h e r c o u n s e l s , corporate lawyer to join the team. Working closely with senior trend of Chinese securities and other buy side houses slowly establishing themselves in Hong Kong, lawyers who are familiar with SFC (Securities and Futures Commission) will be responsible for drafting and reviewing commercial advising on a variety of work including banking finance, management, you will advise on a variety of corporate finance agreements across various developing business lines. You taxation, structured products and regulatory matters. You transactions and to draft / negotiate related contracts. You License Types (in particular 1, 4 , 6 and 9) are massively in demand. will also review business documents to ensure compliance will have either be common law or PRC qualified, with strong will also look after on-going corporate compliance matters to company policies and relevant laws and regulations. You However, global banks and multinational firms have slowed down recruiting due to the weaker economic climate and headcount issues. This may be a challenge for candidates exposure to PRC / inbound transactions, as well as familiarity and ensure the bank is in compliance with local regulations. be working closely with internal business leaders and external who are keen to explore only positions in global corporations as there will be fewer openings available. in either corporate / banking matters. A good understanding The ideal candidate will be a 7+ PQE corporate lawyer, with service providers to ensure smooth business operation. of SFO is required, and exposure to structured products strong IPO and M&A experience obtained with international Within the in-house commerce sector, we see strong and stable activity across the technology, digital, real estate, media, telecommunications sectors as well as mainland The successful candidate will have at least 3 years’ PQE such as ISDA and OTC is highly regarded. Strong English law firms. In house financial services experience (including Chinese companies with bases in Hong Kong. The hiring trends in the private practice are similar to past years, although firms are now more cautious with hiring. Lawyers with with strong corporate commercial experience and strong drafting skills. The ideal candidate will have strong business and Chinese language skills are required. Ref: H3635470 secondments) are highly regarded. You will be a strong team experience in Banking Finance/M&A and Private Equity/Funds will continue to be sought after, though Chinese language skills is a key prerequisite. acumen, the ability to work under minimal supervision and player, with excellent communication skills. English and Chinese are required. Ref: H3787170 Increasingly, more employers, especially Chinese companies based in Hong Kong, are seeking professionals who have native Mandarin skills. Job seekers without this skill set demonstrates leadership skills. Fluency in spoken and written English and Chinese is required. Ref: H3824500 will find it challenging to secure a new role as the demand for Mandarin speakers is rising exponentially.

To apply, visit www.michaelpage.com.hk/apply quoting the reference number or contact our team at 852 2530 6100.

Specialists in legal recruitment Legal www.michaelpage.com.hk MICHAELMICHAEL PAGEPAGE LEGALLEGAL SPECIALISTSSPECIALISTS ININ LEGALLEGAL RECRUITMENTRECRUITMENT

PRIVATEMEETPRIVATEMEET THE THE PRACTICE PRACTICE TEAM TEAM IN-HOUSE,IN-HOUSE, CORPORATE CORPORATE IN-HOUSE,IN-HOUSE, CORPORATE CORPORATE FINANCIALFINANCIAL SERVICES SERVICES BankingBanking & & Finance Finance Associate Associate CorporateCorporate Finance Finance Associate Associate SeniorSenior Group Group Legal Legal Counsel Counsel LegalLegal Counsel Counsel PrivatePrivate Equity Equity Lawyer Lawyer CorporateCorporate Lawyer Lawyer › ›2 2PQE PQE › ›3+ 3+ PQE PQE › ›12-20+ 12-20+ PQE PQE › ›5+ 5+ PQE PQE › ›3-8 3-8 PQE PQE › ›4-8 4-8 PQE PQE › ›International International Law Law Firm Firm › ›Well-established Well-established Hong Hong Kong Kong Firm Firm › › Reputable Reputable Global Global Retailer Retailer › ›Hong Hong Kong Kong Listed Listed Property Property Developer Developer › ›Fund Fund House House › ›Investment Investment Bank Bank A Alarge large UK UK based based law law firm firm is is hiring hiring a juniora junior banking banking lawyer. lawyer. A Anew new associate associate opening opening has has arisen arisen in in a areputable reputable corporate corporate A A well well regarded regarded global global retailer retailer is is currently currently seeking seeking for for a a A A market market leader leader in in the the Hong Hong Kong Kong property property market market with with OurOur client client is is a a private private equity equity house house with with a a sizable sizable fund fund OurOur client client is is a asizable sizable investment investment bank bank seeking seeking to to take take on on a a JoiningJoining the the firm’s firm’s Banking Banking and and Finance Finance team, team, you you will will practicepractice group group within within a alarge large Hong Hong Kong Kong based based law law firm. firm. In In seniorsenior group group counsel counsel with with a aview view to to be be promoted promoted to to General General multiplemultiple active active construction construction projects projects is is currently currently seeking seeking managementmanagement platform, platform, as as well well as as a a very very well-established well-established juniorjunior to to mid-level mid-level corporate corporate lawyer, lawyer, to to work work closely closely with with the the becomebecome part part of of the the well-established well-established team team consisting consisting of of local local thisthis team, team, you you will will be be exposed exposed to to high high profile profile clients clients and and withwith CounselCounsel in in the the foreseeable foreseeable future future in in light light of of internal internal changes. changes. a a Legal Legal Counsel. Counsel. Reporting Reporting to to the the Senior Senior Counsel, Counsel, you you will will parentparent company. company. The The current current team team is is headed headed up up by by the the existingexisting 2 2lawyers. lawyers. Reporting Reporting to to the the Deputy Deputy Head Head of of Legal, Legal, you you andand international international lawyers. lawyers. In In this this role role you you will will be be primarily primarily thethe opportunity opportunity to to advise advise a a portfolio portfolio of of blue-chip blue-chip corporate corporate YouYou will will look look after after a a full full legal legal team, team, with with oversight oversight across across a a provideprovide legal legal advice advice on on issues issues relating relating to to construction construction matters matters DeputyDeputy General General Counsel Counsel with with the the support support of of a a paralegal. paralegal. willwill advise advise on on a avariety variety of of corporate corporate matters, matters, with with a afocus focus on on responsibleresponsible for for assisting assisting the the department department head head in in advising advising clientsclients on on their their financial financial and and business business strategies. strategies. There There willwill fullfull range range of of corporate corporate commercial commercial matters, matters, including including M&A, M&A, andand participate participate in in the the negotiating negotiating and and drafting drafting of of project project AsAs business business is is growing, growing, they they are are seeking seeking a a new new private private privateprivate equity equity and and M&A M&A transactions. transactions. You You will will draft draft and and review review onon debt debt restructuring restructuring and and lending lending matters. matters. Your Your daily daily duties duties alsoalso be be a astrong strong focus focus on on assisting assisting Mainland Mainland Chinese Chinese clients clients corporatecorporate restructurings restructurings and and major major commercial commercial agreements agreements documentationdocumentation with with government government and and contractors. contractors. You You will will equityequity lawyer. lawyer. Reporting Reporting to to the the Deputy Deputy General General Counsel, Counsel, relatedrelated agreements, agreements, and and be be exposed exposed to to asset asset management. management. willwill include include reviewing reviewing loans loans documentation documentation (bilateral (bilateral and and whichwhich are are looking looking to to be be listed listed in in Hong Hong Kong Kong or or overseas. overseas. negotiations.negotiations. You You will will work work with with internal internal and and external external lawyers lawyers alsoalso provide provide legal legal advice advice to to the the relevant relevant businesses businesses in in relation relation youyou will will identify identify potential potential risks risks on on legal legal structure, structure, issues issues YouYou are are required required to to stay stay abreast abreast on on all all local local regulatory regulatory syndicated)syndicated) and and other other ancillary ancillary documents, documents, as as well well as as the the TheThe ideal ideal candidate candidate will will have have at at least least 3 3years’ years’ PQE PQE gained gained in in toto handle handle legal legal matters matters across across 10 10 European European jurisdictions jurisdictions and and toto statutory statutory and and contractual contractual compliance compliance issues. issues. Finally Finally you you ofof private private equity equity investment investment transactions, transactions, and and advise advise the the requirementsrequirements to to ensure ensure the the Group Group is is in in compliance. compliance. You You will will draftingdrafting / negotiating / negotiating of of various various finance finance documents documents and and closing closing thethe area area of of corporate corporate law, law, demonstrating demonstrating the the ability ability to to take take 1010 Asian Asian jurisdictions. jurisdictions. The The ideal ideal candidate candidate will will be be possess possess willwill advise advise on on potential potential disputes disputes arising arising from from the the group’s group’s seniorsenior management. management. You You will will review review and and negotiate negotiate a avariety variety havehave the the opportunity opportunity to to work work closely closely with with various various businesses businesses documents.Thedocuments.The ideal ideal candidate candidate will will be be a aHK HK qualified qualified solicitor solicitor responsibilityresponsibility for for IPO IPO processes processes from from kick kick off off to to end. end. Fluency Fluency atat least least 12 12 years’ years’ PQE PQE in in the the area area of of corporate corporate M&A, M&A, with with developmentdevelopment projects projects and and review review all all claims. claims. The The successful successful ofof related related documentation documentation and and agreements agreements by by ensuring ensuring they they andand regulators. regulators. The The successful successful candidate candidate will will possess possess at at withwith at at least least 2 2years’ years’ PQE PQE in in lending lending and and other other debt debt capital capital inin spoken spoken and and written written English English and and Mandarin Mandarin is is a a must. must. experienceexperience in in leading leading a asmall small team. team. Prior Prior in in house house experience experience candidatecandidate will will be be a a 5+ 5+ years’ years’ PQE PQE lawyer lawyer with with experience experience areare in in compliance compliance with with internal internal policies policies and and local local regulations. regulations. leastleast 4 4years’ years’ PQE PQE in in the the area area of of corporate, corporate, ideally ideally with with strong strong marketsmarkets matters. matters. You You will will be be able able to to work work independently independently and and OverseasOverseas candidates candidates with with relevant relevant experience experience and and language language obtainedobtained with with sizable sizable companies companies is is required, required, and and exposure exposure inin construction construction related related contentious contentious and and non-contentious non-contentious YouYou will will ideally ideally possess possess at at least least 3 3 years’ years’ PQE PQE in in the the area area exposureexposure in in the the areas areas of of M&A M&A and and private private equity. equity. Ambition Ambition to to showshow good good interpersonal interpersonal and and communication communication skills. skills. Mandarin Mandarin skillsskills will will be be considered. considered. Ref: Ref: H3819560 H3819560 toto retail retail industry industry is is highly highly regarded. regarded. Familiarity Familiarity with with local local matters.matters. Fluency Fluency in in spoken spoken and and written written English English and and Chinese Chinese ofof private private equity equity and and M&A. M&A. Any Any prior prior experience experience in in other other buildbuild a acareer career in-house in-house is is highly highly regarded, regarded, as as is is experience experience gainedgained with with sizable sizable law law firms firms or or financial financial institutions. institutions. Strong Strong languagelanguage skills skills will will be be highly highly regarded. regarded. Ref: Ref: H3827860 H3827860 andand European European regulatory regulatory guidelines guidelines is is useful. useful. Excellent Excellent (Mandarin(Mandarin and and Cantonese) Cantonese) is is required. required. Ref: Ref: H3829170 H3829170 privateprivate equity equity houses houses is is highly highly advantageous. advantageous. Strong Strong English English communicationcommunication skills skills required, required, as as is is the the fluency fluency in in English English and and interpersonalinterpersonal skills skills and and language language skills skills in in English English and and Chinese Chinese andand Chinese Chinese language language skills skills are are required. required. Ref: Ref: H3816170 H3816170 areare essential. essential. Ref: Ref: H3759540 H3759540 ChineseChinese (including (including conversational conversational Mandarin). Mandarin). Ref: Ref: H3828850 H3828850 LegalLegal Counsel Counsel StructuredStructured Products Products Lawyer Lawyer BankingBanking Loans Loans Lawyer Lawyer LitigationLitigation Associate Associate DebtsDebts / /Bonds Bonds Lawyer Lawyer SeniorSenior Legal Legal Counsel Counsel › › 3-5+ 3-5+ PQE PQE › › 1-8 1-8 FQE FQE › ›1-6 1-6 PQE PQE › ›5+ 5+ PQE PQE › › 5+ 5+ PQE PQE › ›12-15+ 12-15+ PQE PQE › › US US Multinational Multinational › ›Top Top Tier Tier Investment Investment Bank Bank › ›Established Established Financial Financial Institution Institution › ›City City Firm Firm › ›International International Law Law Firm Firm › › Hong Hong Kong Kong Listed Listed Conglomerate Conglomerate A A well-established well-established US US based based company company specialising specialising in in A A leading leading investment investment bank bank is is keen keen to to take take on on a a structured structured A Asizable sizable financial financial institution institution withwith a legala legal team team of of 7 lawyers,7 lawyers, A A leading leading international international law law firm firm with with established established offices offices in in OurOur client client is is a a leading leading city city firm firm seeking seeking to to take take on on an an OurOur client client is is a akey key player player in in the the local local and and China China property property and and distributingdistributing consumer consumer products products is is seeking seeking a aLegal Legal Counsel. Counsel. productsproducts lawyer lawyer to to join join their their well-established well-established team. team. Working Working isis currently currently seeking seeking for for a a junior junior to to mid-level mid-level banking banking loans loans HongHong Kong Kong and and other other major major cities cities within within Asia Asia is is currently currently hiring hiring experiencedexperienced litigator. litigator. In In this this role, role, you you will will be be responsible responsible for for retailretail markets. markets. Currently Currently seeking seeking a aHead Head of of Legal Legal for for one one of of their their JoiningJoining a a team team of of qualified qualified lawyers lawyers and and legal legal support support inin a ateam team covering covering the the region, region, you you will will provide provide transactional transactional lawyerlawyer to to join join the the team. team. Reporting Reporting to to the the Head Head of of Legal, Legal, you you anan experienced experienced Debt Debt Capital Capital Markets Markets solicitor. solicitor. This This is is a anewly newly a arange range of of dispute dispute resolution resolution matters matters with with a afocus focus on on banking banking newnew business business units, units, the the successful successful candidate candidate will will lead lead a ateam team p rp o r fo e f se s s i so i no an la s lw s w h ih l s i lt s r te r pe op ro t ri nt i gn gt o t ot h t eh R e R e ge ig o i no an la H l H e ae da do fo L f eL ge ag la , y l , oy uo u andand advisory advisory legal legal support support to to a avariety variety of of structured structured products products willwill advise advise on on a a variety variety of of banking banking matters matters with with a a focus focus on on createdcreated headcount headcount to to cope cope with with ambitious ambitious business business growth growth in in litigation,litigation, joint-venture joint-venture and and shareholder shareholder disputes disputes related related work. work. ofof lawyers lawyers based based in in Hong Hong Kong. Kong. You You will will take take responsibility responsibility willwill look look after after legal legal matters matters in in the the Greater Greater China China and and Southeast Southeast suchsuch as as the the drafting drafting and and negotiating negotiating of of structured structured derivatives derivatives bilateralbilateral and and syndicated syndicated loans loans work, work, as as well well as as to to identify identify Asia.Asia. Reporting Reporting to to the the head head of of the the practice, practice, you you will will participate participate YouYou will will also also have have the the opportunity opportunity to to work work with with high-calibre high-calibre toto strengthen strengthen the the team team as as well well as as to to provide provide legal legal advice advice and and AsiaAsia region. region. You You will will draft draft and and review review commercial commercial contracts contracts as as documentationdocumentation including including ISDA, ISDA, OTC OTC and and securitized securitized format, format, andand to to mitigate mitigate any any legal legal risk. risk. You You will will have have the the opportunity opportunity andand oversee oversee a avariety variety of of debt debt capital capital markets markets work, work, including including feefee earners earners in in a acollegiate collegiate environment environment offering offering good good work work life life supportsupport to to the the relevant relevant businesses businesses promoting promoting growth growth for for the the wellwell as as provide provide advice advice on on consumer consumer and and intellectual intellectual property property advisingadvising on on structured structured products products programme programme including including the the toto work work closely closely with with various various businesses, businesses, in in particular particular with with the the bonds,bonds, fixed fixed income, income, and and general general financing financing transactions. transactions. The The balance.balance. The The ideal ideal candidate candidate will will be be a a Hong Hong Kong Kong qualified qualified organization.organization. Reporting Reporting directly directly to to senior senior management management of of the the laws,laws, compliance compliance and and marketing marketing matters. matters. A Abusiness business partner partner handlinghandling of of trade trade documentation documentation and and issuance issuance of of these these FinancingFinancing Team. Team. The The successful successful candidate candidate will will have have at at least least 1 1 idealideal candidate candidate should should possess possess at at least least 5 5years’ years’ PQE PQE gained gained solicitorsolicitor with with at at least least 5 5 years’ years’ PQE PQE obtained obtained in in the the area area of of businessbusiness with with a a dotted dotted reporting reporting line line to to the the Group Group General General toto relevant relevant stakeholders stakeholders and and country country leaders, leaders, you you will will advise advise products,products, handling handling queries queries from from the the business business and and other other PQEPQE obtained obtained in in the the area area of of banking banking and and loans loans work, work, having having inin the the area area of of debts debts / banking,/ banking, whether whether obtained obtained in in Hong Hong Kong Kong litigation,litigation, with with experience experience gained gained in in sizable sizable local local firms firms or or Counsel,Counsel, the the successful successful candidate candidate will will have have at at least least 12 12 years’ years’ onon projects projects and and other other operational operational matters. matters. You You will will possess possess supportsupport functions functions in in relation relation to to the the programme, programme, and and review review all all workedworked in in sizable sizable law law firm. firm. Prior Prior in in house house financial financial services services oror abroad. abroad. Candidates Candidates with with a a background background in in the the financial financial internationalinternational law law firms. firms. You You willwill be be wellwell versed versed withwith regulatory regulatory / / PQEPQE in in the the area area of of corporate corporate commercial commercial law, law, ideally ideally with with 3+3+ years’ years’ PQE PQE with with solid solid experience experience in in reviewing reviewing commercial commercial relatedrelated term term sheets, sheets, distribution distribution agreements/trading agreements/trading platform platform experienceexperience is is highly highly regarded regarded though though not not mandatory. mandatory. You You will will servicesservices industry industry being being interested interested in in returning returning to to private private financialfinancial services services matters,matters, being being familiar familiar withwith local local regulatory regulatory strongstrong business business acumen. acumen. Solid Solid in in house house experience experience within within the the agreements.agreements. The The ideal ideal candidate candidate will will be be a a proactive proactive a ga rg e r e me m e ne tn s t . s T . hT eh es us cu c ec se s s f s u f lu c l ac na dn id d i ad t a e t ew w i l l ih l l ah v a e v ea ta l te l ae sa t s 1 t 1y ey ae ra ’s r ’s bebe a ateam team player player with with willingness willingness to to take take on on new new work. work. Strong Strong practicepractice are are welcomed welcomed to to apply. apply. Strong Strong communication communication guidelines.guidelines. Fluency Fluency in in English English and and Chinese Chinese is is preferred preferred while while retailretail industry industry is is highly highly regarded, regarded, as as is is a astrong strong track track record record individualindividual with with willingness willingness to to be be hands-on. hands-on. Strong Strong language language overalloverall experience experience of of structured structured products. products. Ref: Ref: H3827480 H3827480 EnglishEnglish and and Chinese Chinese language language skills skills required. required. Ref: Ref: H3828150 H3828150 skillsskills in in English English and and Chinese Chinese are are required. required. Ref: Ref: H3831020 H3831020 conversationalconversational Mandarin Mandarin is is advantageous. advantageous. Ref: Ref: H3827670 H3827670 inin handling handling domestic domestic and and China China matters. matters. Fluency Fluency in in spoken spoken skillsskills in in English English and and Chinese Chinese is is required. required. Ref: Ref: H3823260 H3823260 andand written written English English and and Chinese Chinese (Mandarin (Mandarin and and Cantonese) Cantonese) is is required.required. Ref: Ref: H3778120 H3778120 LegalLegal Counsel Counsel CorporateCorporate / /Banking Banking PRC PRC Lawyer Lawyer CorporateCorporate Finance Finance Lawyer Lawyer LOOKINGLOOKING FORWARD FORWARD TO TO 2017 2017 › › 3-5+ 3-5+ PQE PQE › › 3-8 3-8 PQE PQE › ›7+ 7+ PQE PQE › › Growing Growing Chinese Chinese Company Company › ›Financial Financial Institution Institution › ›Investment Investment Bank Bank HongHong Kong’s Kong’s legal legal sector sector enjoyed enjoyed a asteady steady 2016, 2016, and and elements elements of of caution caution did did exist exist as as a aresult result of of various various macroeconomic macroeconomic factors. factors. A A Chinese Chinese based based logistics logistics company company with with strong strong global global DueDue to to continuous continuous expansion, expansion, a areputable reputable and and stable stable financial financial A A top top tier tier investment investment bank bank continues continues to to expand expand within within presencepresence is is seeking seeking a a Legal Legal Counsel Counsel to to lead lead their their Hong Hong servicesservices house house is is currently currently seeking seeking to to add add on on a alawyer lawyer to to the the thethe region. region. The The already already established established legal legal team team of of 7 7 legal legal 20172017 is is expected expected to to trend trend similarly, similarly, with with an an increasing increasing number number of of new new based-in-Hong based-in-Hong Kong Kong Chinese Chinese financial financial services services firms firms seeking seeking legal legal talent. talent. Buy Buy side side will will continuecontinue KongKong legal legal function. function. Reporting Reporting to to the the General General Counsel, Counsel, currentcurrent legal legal team team of of 6 6lawyers. lawyers. The The successful successful candidate candidate will will professionalsprofessionals is is currently currently seeking seeking to to take take on on a amid mid to to senior senior toto grow grow within within the the financial financial services services sector sector and and employers employers willwill typically typically seek seek talent talent withwith asset asset management,management, privateprivate equity equity and and fund fund house house experience. experience. GivenGiven the the rising rising youyou will will be be supported supported by by a a small small team team of of paralegals. paralegals. You You r er p e op r o t rt t o t ot h t e h eH H e a e d a do fo L f eL g e a g l a , w l , w o r o k r i k n i g n gc lc o l s o e s l e y l w y w i t h i t ho to h t e h r e c r oc u o n u s n e s l e s l , s , corporatecorporate lawyer lawyer to to join join the the team. team. Working Working closely closely with with senior senior trendtrend of of Chinese Chinese securities securities and and other other buy buy side side houses houses slowly slowly establishing establishing themselves themselves in in Hong Hong Kong, Kong, lawyers lawyers who who are are familiar familiar with with SFC SFC (Securities (Securities and and Futures Futures Commission) Commission) willwill be be responsible responsible for for drafting drafting and and reviewing reviewing commercial commercial advisingadvising on on a a variety variety of of work work including including banking banking finance, finance, management,management, you you will will advise advise on on a avariety variety of of corporate corporate finance finance agreementsagreements across across various various developing developing business business lines. lines. You You taxation,taxation, structured structured products products and and regulatory regulatory matters. matters. You You transactionstransactions and and to to draft draft / / negotiate negotiate related related contracts. contracts. You You LicenseLicense Types Types (in (in particular particular 1, 1, 4 4, 6, 6and and 9) 9) are are massively massively in in demand. demand. willwill also also review review business business documents documents to to ensure ensure compliance compliance willwill have have either either be be common common law law or or PRC PRC qualified, qualified, withwith strong strong willwill also also look look after after on-going on-going corporate corporate compliance compliance matters matters toto company company policies policies and and relevant relevant laws laws and and regulations. regulations. You You However,However, global global banks banks and and multinational multinational firms firms have have slowed slowed downdown recruiting recruiting duedue to to the the weakerweaker economic economic climate climate and and headcount headcount issues. issues. ThisThis maymay bebe a achallenge challenge for for candidates candidates exposureexposure to to PRC PRC / inbound/ inbound transactions, transactions, as as well well as as familiarity familiarity andand ensure ensure the the bank bank is is in in compliance compliance with with local local regulations. regulations. bebe working working closely closely with with internal internal business business leaders leaders and and external external whowho are are keen keen to to explore explore only only positions positions in in global global corporations corporations as as there there will will be be fewer fewer openings openings available. available. inin either either corporate corporate / /banking banking matters. matters. A Agood good understanding understanding TheThe ideal ideal candidate candidate will will be be a a7+ 7+ PQE PQE corporate corporate lawyer, lawyer, with with serviceservice providers providers to to ensure ensure smooth smooth business business operation. operation. ofof SFO SFO is is required, required, and and exposure exposure to to structured structured products products strongstrong IPO IPO and and M&A M&A experience experience obtained obtained with with international international WithinWithin the the in-house in-house commerce commerce sector, sector, we we see see strong strong and and stable stable activity activity across across the the technology, technology, digital, digital, real real estate, estate, media, media, telecommunications telecommunications sectors sectors as as well well as as mainland mainland TheThe successful successful candidate candidate will will have have at at least least 3 3 years’ years’ PQE PQE suchsuch as as ISDA ISDA and and OTC OTC is is highly highly regarded. regarded. Strong Strong English English lawlaw firms. firms. In In house house financial financial services services experience experience (including (including ChineseChinese companies companies with with bases bases in in Hong Hong Kong. Kong. The The hiring hiring trends trends in in the the private private practice practice are are similar similar to to past past years, years, although although firms firms are are now now moremore cautious cautious withwith hiring. hiring. Lawyers Lawyers withwith withwith strong strong corporate corporate commercial commercial experience experience and and strong strong draftingdrafting skills. skills. The The ideal ideal candidate candidate will will have have strong strong business business andand Chinese Chinese language language skills skills are are required. required. Ref: Ref: H3635470 H3635470 secondments)secondments) are are highly highly regarded. regarded. You You will will be be a astrong strong team team experienceexperience in in Banking Banking Finance/M&A Finance/M&A and and Private Private Equity/Funds Equity/Funds will will continue continue to to be be sought sought after, after, though though Chinese Chinese language language skills skills is is a akey key prerequisite. prerequisite. acumen,acumen, the the ability ability to to work work under under minimal minimal supervision supervision and and player,player, with with excellent excellent communication communication skills. skills. English English and and ChineseChinese are are required. required. Ref: Ref: H3787170 H3787170 Increasingly,Increasingly, more more employers, employers, especially especially Chinese Chinese companies companies based based in in Hong Hong Kong, Kong, are are seeking seeking professionals professionals who who have have native native Mandarin Mandarin skills. skills. Job Job seekers seekers without without this this skill skill set set demonstratesdemonstrates leadership leadership skills. skills. Fluency Fluency in in spoken spoken and and writtenwritten English English and and Chinese Chinese is is required. required. Ref: Ref: H3824500 H3824500 willwill find find it it challenging challenging to to secure secure a anew new role role as as the the demanddemand for for MandarinMandarin speakers speakers is is rising rising exponentially. exponentially.

ToTo apply, apply, visit visit www.michaelpage.com.hk/apply www.michaelpage.com.hk/apply quoting quoting the the reference reference number number or or contact contact our our team team at at 852 852 2530 2530 6100. 6100.

SpecialistsSpecialists in in legal legal recruitment recruitment LegalLegal www.michaelpage.com.hkwww.michaelpage.com.hk Hong Kong • Singapore • Beijing • Shanghai Specialising in Legal, Financial Services, and Commerce Hong Kong • Singapore • Beijing • Shanghai Specialising in Legal, Financial Services, and Commerce Private Practice In-house CORPORATE INSURANCE HONG KONG PARTNER SENIOR LEGAL COUNSEL HONG KONG 15+ PQE Our client is an established city firm looking to expand its Conglomerate based in Hong Kong seeks an experienced commercial insurance platform in Hong Kong. Counsel, or Partners with lawyer to advise on a wide range of commercial legal matters. You will a book of business and/or strong links with the insurance manage a medium-sized team of lawyers. Strong in-house experience, sector required. (HKL 14819) handling commercial and contentious matters, as well a proven track in people-management is necessary. Cantonese required. (HKL 14379) CORPORATE HONG KONG PARTNER International law firm with a strong international platform COMPETITION H O N G K O N G 1 0 - 1 5 P Q E is looking to expand its cross border M&A and HK capital Leading corporation with excellent brand seeks a regulatory counsel markets practice. Open to Hong Kong, Shanghai or Beijing to head up their compliance team and assist in compliance matters based candidates. (HKL 14864) globally with a particular emphasis on competition law. Candidates should be qualified in a commonwealth law jurisdiction with experience CAPITAL MARKETS HONG KONG 5-8 PQE gained from both international law firm and in-house settings. Open to International firm is expanding its capital markets platform candidates from overseas. (IHC 14765) within US and India markets. Lawyers should be India or US qualified with extensive experience in Indian LEGAL COUNSEL HONG KONG 6-10 PQE transactions. This role will also cover Hong Kong cross border Global business with its HQ in Hong Kong seeks additional senior M&A and commercial ventures. (HKL 14693) lawyers to support its various business units. Work involves advising the international business on general commercial work covering BANKING & FINANCE H O N G K O N G 2 - 6 P Q E contracts, IP, HR issues. Lawyers from private practice as well as in- Top-tier offshore law firm seeks a banking & finance associate house will be considered. (IHC 14710) to join their well-established practice. The ideal candidate LEGAL COUNSEL HONG KONG 6+ PQE will have solid experience in banking & finance law gained This conglomerate seeks a commercially astute lawyer to work from leading international law firms. Chinese language is not closely with a business team on complex commercial projects and required. Competitive package on offer. (HKL 14625) potentially contentious matters. Candidates will advise the company BANKING/ASSET FINANCE HONG KONG 2-5 PQE on developments in rules and regulations and compliance with relevant This international firm with a solid Asia presence is looking to law, as well as providing effective legal solutions for the business and expand with the addition of a junior/mid-level lawyer to join operations. (HKL 14786) their asset finance team. Ideal candidates will handle China LEGAL COUNSEL H O N G K O N G 3 - 5 P Q E out-bound asset acquisitions (shipping/aviation). Chinese Opportunity to join a well-regarded financial institution, providing legal fluency needed. (HKL 13412) support across the Asia region to the brokerage and its investment INTELLECTUAL PROPERTY HONG KONG 2-5 PQE banking business. Ideal candidate will be a HK qualified lawyer with solid experience in advising on financial services law. Mandarin is required. Our client is an established IP practice looking to add an (IHC 14752) experienced litigator to its team. Ideal candidates will work on a mix of HK and China IP disputes within the luxury retail, SENIOR LEGAL OFFICER/COUNSEL HONG KONG 3+ PQE technology and finance. (HKL 14865) A reputable logistics company is looking for a senior legal officer/counsel in Hong Kong. This position will lead two subordinates and mainly focus CORPORATE ASSOCIATE H O N G K O N G 1 - 5 P Q E on general corporate work. The ideal candidate should be familiar with Notable international law firm has a vacancy for a corporate Hong Kong law. Fluency in Chinese and English is essential. (IHC 14820) lawyer. You will work alongside well-regarded partners on high-profile corporate finance transactions across Asia. TRUSTS AND ESTATES HONG KONG 2-4 PQE Fluency in Cantonese and Mandarin required. (HKL 14720) Financial Institution seeks an experienced lawyer to work in-house within private wealth management. Ideally suited for lawyers with a tax, PWM or estate planning background. Opportunity to move in-house and take on a business/legal position managing trust relationships. (HKL 14745) www.alsrecruit.com To apply in confidence, please send your updated resume to [email protected], or contact one of our Legal Consultantswww.alsrecruit.com in Hong Kong: ClaireTo apply Park in confidence, please send your updated resumeGeorgeanna to [email protected], Mok or contact one of our LegalWilliam Consultants Chan in Hong Kong: Tel:Claire +852 Park 2920 9134 Tel:Georgeanna +852 2920 Mok 9101 Tel:William +852 Chan 2920 9105 Email:Tel: +852 [email protected] 2920 9134 Email:Tel: +852 [email protected] 2920 9101 Email:Tel: +852 w.chan@als 2920 9105recruit.com Email: [email protected] Email: [email protected] Email: [email protected] SPECIALIST PROFESSIONAL RECRUITMENT LEGAL PROFESSIONALS

FINANCIAL SERVICES

HEAD OF LEGAL & COMPLIANCE HEAD OF FINANCIAL CRIME COMPLIANCE INVESTMENT FUND HOUSE LEADING ASIAN BANKING GROUP OAA/534180 QPD/533490 A Hong Kong based investment fund that has both private equity and public This is a Head of Financial Crime Compliance opportunity, overseeing two side platform is looking to hire a first legal and compliance counsel. They have AML teams – transaction monitoring and advisory. The Hong Kong business is just launched their fourth fund and are continuing to grow. To date all legal and mainly focused on lending but they also have a growing trade finance business compliance has been managed by the CFO. They are now in a position where and small private wealth department. The position will report to the Head of they need to hire a dedicated lawyer to manage the legal function and build out Compliance, Greater China. the compliance offering. They currently have 20 employees in Hong Kong and are opening offices in Europe and the US. Key Requirements:

Key Requirements: ■ 10 years’ experience in banking space, ideally in corporate or wholesale banking ■ Excellent knowledge and understanding of financial crime regulations in ■ Hong Kong or commonwealth qualified lawyer with a minimum of six years’ Hong Kong, both HKMA and SFC. Experience in Trade and cross border PQE transactions and issues will be an advantage. ■ Extensive knowledge of funds and investment management from both a legal ■ Ideally will have experience in both AML transaction monitoring and AML and compliance perspective advisory ■ Fluency in spoken and written English and Mandarin Chinese

MLRO (DIRECTOR OF AML ADVISORY) COMPLIANCE MANAGER WESTERN INVESTMENT BANK HEDGE FUND WDM/531410 WDM/536180 A European bank is hiring a senior financial crime advisory professional to be A regional hedge fund focused on quantitative and electronic trading strategies the MLRO of their Investment Bank. This person will have oversight of the full is adding a legal & compliance professional to their team. This will be the first scope of financial crime risk for the Hong Kong branch and additionally serve as in-house compliance hire for the firm as the function was previously outsourced a senior SME and point of escalation on matters of financial crimes for the region. to a consultancy. This person will work closely with the PM and operations team Reporting directly to the Head of Financial Crime, this person will be the registered to ensure the firm’s activities remain compliant as they continue to expand. As MLRO with the regulator and serve as the primary liaison to the appropriate their firm looks at many investments and deals in PRC, experience in China is government bodies. preferred. Key Requirements: Key Requirements:

■ A minimum of eight years’ experience in financial crime compliance ■ A minimum of five years’ compliance experience in a SFC regulated firm, at ■ Demonstrated knowledge and expertise across a breadth of areas within least three years’ experience in hedge fund or asset manager preferred financial crime risk (KYC, AML, Sanctions, etc) ■ Fluency in spoken and written English, Cantonese and Mandarin ■ A minimum of three years’ experience in a senior role with exposure to ■ Extensive knowledge of SFC Type 1, 4 and 9 regulated activities, with strong executive leadership and regulators knowledge of investments in China is preferred ■ Strong personality with ability to drive a business unit to efficient results ■ Previous working experience in China or within another hedge fund would be ■ Fluency in spoken and written English and Cantonese, Mandarin would be a highly preferred plus

DERIVATIVES LAWYER DIRECTOR, REGULATORY COMPLIANCE GLOBAL INVESTMENT BANK TOP GLOBAL BANK OAA/539240 QPD/538370 A European bank is seeking a derivatives lawyer to join the established team. This is a Deputy Head of Regulatory Compliance role overseeing all lines of This role will cover APAC but also have a strong focus on China. business for one of the biggest banking groups in Hong Kong. You will need a strong regulatory background and understanding of the compliance function. Key Requirements: Key Requirements: ■ Hong Kong, commonwealth or PRC qualified lawyer with a minimum of five ■ Legally qualified lawyer with a minimum of 10 years’ PQE years’ PQE ■ Substantial in-house experience in handling regulatory compliance advisory ■ A strong background in derivatives, banking or asset management and regulatory liaison work, including demonstrated success in a similar role ■ Product knowledge such as QFII, QDII, Hong Kong-China Connect Pilot ■ Understanding risk management Scheme, FINI and RMB markets, as well as relevant regulatory knowledge, will be highly advantageous ■ Fluency in spoken and written English and Mandarin Chinese

TO FIND OUT MORE ABOUT THESE EXCITING LEGAL CAREER OPPORTUNITIES, PLEASE CONTACT: Megan Craighead +852 2103 5377 [email protected] Oliver Allcock +852 2103 5317 [email protected] Ricky Mui +852 2103 5370 [email protected] Tony Wilkey +852 2103 5338 [email protected]

www.robertwalters.com.hk ROBERT WALTERS HONG KONG • 20/F NEXXUS BUILDING • 41 CONNAUGHT ROAD CENTRAL • CENTRAL • HONG KONG trust | honesty | integrity | partnership

Construction Litigation Ship Finance Private Wealth 3-5 PQE Hong Kong 5+ PQE Hong Kong 5+ PQE Hong Kong This premier practice seeks a construction A highly ranked law practice with a well- This is a superb opportunity for a talented lawyer with exposure to litigation and established finance practice is looking for an and experienced private client lawyer looking arbitration matters. You will work alongside associate to join its ranks to handle a number to take their career to the next level. You will highly regarded partners in a close knit team. of matters including new-build and second- join this international law firm headed by This is a brilliant opportunity for a HK qualified hand ship financing, sales and leasebacks a phenomenal partner and work closely to lawyer with experience gained with a leading and syndication matters. You will have develop the practice, advising on trust and/or practice. You will ideally have Cantonese and previous exposure to asset finance matters. corporate structures and compliance issues. mandarin language skills. HKL4317 HKL4382 HKL4355

Corporate Finance Dispute Resolution Corporate Finance 2+ PQE Hong Kong 5+PQE Hong Kong 5+ PQE Hong Kong A truly fantastic opportunity for a corporate This globally recognised premier law firm has an This is an excellent opportunity for an associate lawyer looking for an entrepreneurial platform excellent disputes practice, due to increased work looking to join a well-established and collegiate to take their career to the next level. You will they are seeking a common law qualified senior team. You will focus on HK listing work with join a collegiate team and work alongside litigator with solid commercial litigation experience exposure to some M&A transactions. The a prominent partner to work on a range to work on a range of general commercial litigation team is well structured and is able to offer the of corporate finance, PE and M&A matters. and contentious regulatory matters and more. right candidate a career path. Mandarin skills Mandarin skills required. HKL4375 Mandarin preferred but not essential. HKL4414 preferred. HKL4316

M&A/PE Corporate Finance International Trade 3+ PQE Hong Kong 3-5 PQE Hong Kong 4-6 PQE Hong Kong Premier practice seeks a mid level associate Fantastic opportunity for an experienced An excellent opportunity for a finance associate looking for a broad mix of work. You will work associate with Mandarin skill looking to join a with experience in international Trade to work for highly regarded partners on a range of well-established and collegiate team. You will be alongside a highly regarded partner. You will complex M&A, Private Equity and Cap Market exposed to a range commercial and corporate be advising and preparing commodities and transactions for premier clients in a rewarding finance matters with a focus on HK listing work structured trade finance documents for various environment with manageable working hours. You will have gained experience within a leading banks, as well as commercial and international Mandarin essential. HKL4050 local or international law firm. HKL4397 sale contracts. Mandarin required. HKL4369

Corporate PSL Corporate Finance Restructuring 5+ PQE Hong Kong 2-4 PQE Hong Kong 3-5PQE Hong Kong Excellent opportunity for experienced lawyers This eminent firm seeks a lawyer to join their This is a superb opportunity for a non- to step away from fee-earning and join a highly practice, working alongside a well established contentious restructuring lawyer to join this top regarded global law firm with a leading corporate partner, you will be exposed to a range of tier law firm and its established team. You will practice. You will work with a collegiate team corporate finance, PE, and M&A matters. This work on high profile and complex matters with and take on a full range of PSL duties including is an excellent opportunity for a junior lawyer a broad client base across the globe. This is a creating a solid precedent system, know-how to take their career forward with a leading law great opportunity for a common law qualified documents and more. HKL3730 firm. Mandarin skills an advantage. HKL4375 lawyer looking to relocate to Asia. HKL4419

Arbitration ECM/DCM Banking & Finance 5+ PQE Shanghai/Hong Kong 3+5 PQE Sydney 2-6 PQE Shanghai Stellar opportunity for a senior lawyer to This premier firm is seeking an individual with Our client is a well known international firm. join this globally recognised arbitration capital markets experience to join their highly They are currently seeking a highly motivated practice of a US firm as it continues to regarded team in Australia. You will have mid level lawyer to join their Banking & go from strength to strength. You will solid experience/exposure to project finance, Finance team to work on big ticket deals, work on a mix of litigation and complex equity/debt capital markets, leveraged finance including corporate lending, equity-backed and high profile arbitrations alongside a and restructuring. You be US qualified with first financing, restructuring and mainstream reputable partner. Mandarin skills required. rate academics and top tier law firm experience. syndicated lending. Mandarin skills a bonus. HKL4386 HKL4402 HKL4390

This is a selection of our current vacancies; for more information in complete confidence, please call the Hong Kong office on +852 2503 2500 or email us at

[email protected] www.atticus-legal.com LONDON | HONG KONG | SINGAPORE | NEW YORK

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Shaping the careers of city professionals Arron Leale - Manager since 2002, Oliver James Associates +852 3708 5547 partners with leading law fi rms and [email protected] blue-chip multinationals worldwide. Our consultants boast unrivalled Richard Whalley - Senior Consultant knowledge of their vertical markets and +852 3708 5539 networks that span the global legal [email protected] sector, enabling you to access the most exclusive opportunities in the industry. David Chin – In-House Consultant Working from 12 international locations, +852 3708 5538 we represent legal professionals within [email protected] the US, UK, EU and Asia-Pacifi c regions, placing them in Associate, Legal Patrick Haughey – Consultant Counsel, General Counsel and Partner- +852 3708 5573 level positions. Embrace your future, [email protected] transform your career and contact Oliver James Associates today. Erik Bainbridge - Consultant +852 3708 5558 Whether you are seeking your next [email protected] career move now, or you would like to have a confi dential discussion about the legal market to feel more informed, please contact us today.

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